Pursuant to 20 CFR 683 Subpart F, Iowa Workforce Development (IWD) shall be responsible for receiving and administering: (a) all Complaints and Grievances filed by participants and other interested persons affected by the statewide Workforce Opportunity and Innovation Act (WIOA) Title I programs, and who allege violations of WIOA Title I, or the WIOA Title I regulations or policies at the State workforce development system level (State Level) and (b) appeals of local level Complaints/Grievances.

State Level Complaints and Grievances

Initial Complaints and Grievances filed with the state must relate to issues at the statewide workforce development system level.  If an individual files a Complaint or Grievance at the state level that is more appropriately handled at the local level, IWD will forward the Complaint/Grievance to the appropriate Local Area Complaint/Grievance Officer, who will then administer the Complaint/Grievance. All Local Workforce Development Areas are required to have a local grievance policy for the local American Job Center, IowaWORKS, or any other workforce regional programs.

1. Customer complaints/grievances related to the American Job Center, IowaWORKS, or other local programs should be filed using the local complaint procedures.
2. Complaints and Grievances must be filed within ninety (90) days of the alleged occurrence.
3. All individuals filing Complaints or Grievances shall be free from restraint, coercion, retaliation, and discrimination.
4. The Complainant or Grievant must file the Complaint or Grievance in writing to IWD by sending an email to wioagovernance@iwd.iowa.gov.
5. The Complaint or Grievance must include the following information:
   1. Name, address, email address and telephone number of the Complainant/Grievant;
   2. Name, address, email address and telephone number of the person(s) and/or organization(s) that the Complaint/Grievance is against (the Respondent(s));
   3. A clear and concise statement of allegation(s) and facts of the case;
   4. The date(s) of the alleged occurrence(s);
   5. The provisions of the WIOA legislation, regulations, or policies believed to have been violated;
   6. The resolution being sought; and
   7. The signature of the Complainant/Grievant or his or her legal guardian/representative, if applicable.
6. Upon receipt of a Complaint or Grievance, IWD shall acknowledge receipt of the Complaint or Grievance by email, if provided, and, if possible, by certified mail, return receipt requested. If sending an acknowledgement via certified mail is not reasonable or possible, the acknowledgement may be sent by email or regular U.S. Mail. This must be done within ten (10) days of receipt of the Complaint or Grievance. The acknowledgement shall be sent to the Complainant/Grievant and the Respondent(s) and shall:
   1. Notify the Complainant/Grievant if the allegation(s) are more appropriate for handling at the local level and that IWD will forward the Complaint/Grievance to the appropriate Local Area Complaint/Grievance Officer;
   2. Outline the steps to be taken to resolve the matter;
   3. Advise the Parties to attempt to reach an informal resolution;
   4. Notify all Parties of the right to request a hearing within thirty (30) days of the date the Grievance/Complaint was filed if an informal resolution cannot be met; and
   5. Provide a summary of the issues to be decided.
7. If a Complainant or Grievant seeks to amend or withdraw a Complaint/Grievance, the Complainant or Grievant must make a request to the designated IWD staff in writing.
8. An opportunity for an informal resolution or a hearing shall be completed within sixty (60) days of the filing of the Complaint or Grievance.
   1. A hearing will be conducted by the Department of Inspections, Appeals, and Licensing’s of Administrative Hearings Division (DIAL).
9. If a Party is dissatisfied with the Administrative Law Judge’s (ALJ) decision or no decision is made within sixty (60) days, the Party may file an appeal to the U.S. Secretary of Labor.
10. If a Grievant alleges a violation of labor standards, that individual may submit the Grievance to a binding arbitration procedure, if there is a collective bargaining agreement that covers the parties to the Grievance, which so provides.
11. Complaints or Grievances may be resolved through an Informal Resolution or Hearing Process which is outlined in the State Level Informal Resolution and Administrative Hearings Division Process section of this policy.

State Level Appeals of Local Level Complaints/Grievances

If a Party does not receive a satisfactory decision at the local level, or the local level decision is not made within sixty (60) days of the filing of the Complaint/Grievance at the local level, a Party may appeal to the state.

1. The request for State review must be made within ten (10) days of notification of the local level decision, or ten (10) days from the date a decision was due (i.e., sixty (60) days from filing the Complaint/Grievance) but not issued and shall be made in writing to the IWD.
2. Appeal requests of local level decisions to the state level shall include:
   1. Name, address, email address, and telephone number of the Appellant;
   2. Name, address, email address, and telephone number of the Respondent(s);
   3. A clear and concise statement of allegation(s) and facts of the case;
   4. The date(s) of the alleged occurrence(s);
   5. The provisions of the WIOA legislation, regulations, or policies believed to have been violated;
   6. The resolution being sought;
   7. Specific information supporting the grounds upon which the appeal is sought, a copy of the original written Complaint/Grievance, a transcript of the local level hearing proceedings (if available), all exhibits/evidence introduced by the Parties at the local level hearing and a copy of the Local Area Hearing Officer’s written decision, if applicable; and
   8. The signature of the Appellant or his or her legal guardian/representative, if applicable.

State Level Review of Appeal

The State may take any of the following actions regarding an appeal request:

1. Reject the Appeal: An appeal request may be rejected, and a final determination issued, for any of the following reasons:
   1. The Appellant failed to comply with the applicable procedures prescribed in this policy (e.g., the ten (10)-day filing requirement);
   2. The time for appeal is not yet ripe (i.e., the local level process has not been completed);
   3. The request for appeal does not state an appealable issue; or
   4. There is no relief that can be granted.
2. Resolution: The Parties may decide to resolve the appeal informally. See State Level Informal Resolution and Hearing Process section below for procedures.
3. Decision on the Documents Submitted: The Parties may waive the right to a hearing and seek a decision from the State based on the papers submitted related to the Appeal.
4. Hearing with the Administrative Hearing Division: An opportunity for a hearing must be provided to the Parties for an appeal of a local level decision unless the appeal is rejected by the State, the Parties agree to waive a hearing, the Parties decide to resolve the matter informally or the Appellant withdraws the appeal.  See State Level Informal Resolution and Hearing Process section below for procedures.
   1. Remand the Matter to the Local Level: If the appeal to the State is based on the local level not issuing a decision within sixty (60) days of filing a Complaint or Grievance, and proceedings have occurred at the local level or the matter is more appropriately handled at the local level due to the nature of the issues, the state may remand the appeal to the local level with instructions to complete the proceedings as expeditiously as possible.
   2. After IWD receives a request for an appeal IWD will:
      1. Send a notification to the Appellant and Respondent(s), if possible, by certified mail, return receipt requested, within ten (10) days after receiving the request for appeal. If sending a notification via certified mail is not reasonable or possible, the notification may be sent by email or regular U.S. Mail.  The notification shall include the following information:
         1. The date of the request for appeal, name of the Appellant, and name of the party or parties designated as Respondents;
         2. Advise the Parties that they may resolve the appeal by requesting a hearing (within thirty (30) days of the appeal filing date), seeking an informal resolution, or instead, waiving the opportunity for a hearing and requesting a decision based on the papers related to the Appeal that will be submitted to the state;
         3. Advise the Parties to attempt to resolve the matter informally;
         4. A statement of the allegations that accurately reflect the original content of the request for appeal submitted by the Appellant;
         5. Advise the Respondent(s) that he or she will have ten (10) days to file an optional written response to the appeal request;
         6. Notify the Parties that a hearing must be requested no later than thirty (30) days after the date the request for appeal was filed; and
         7. The name, address, and telephone number of the contact person issuing the notice.
      2. If an informal resolution is requested, follow the informal resolution procedures set forth herein.
      3. If a hearing or informal resolution are not requested, conduct a State review to determine whether: (1) the local level hearing was conducted in accordance with the local level hearing procedures and (2) the actions complained of violated any WIOA statute, regulations or policies.  IWD will make a final written determination within sixty (60) days of receipt of the appeal.
   3. An opportunity for an informal resolution and a hearing shall be completed within sixty (60) days of the filing of the appeal request.
   4. If the Party appealing the local level matter seeks to amend or withdraw his or her appeal, that Party must make a request to the designated IWD staff in writing.

State Level Informal Resolution and Hearing Process (for initial State Level Complaints/ Grievances and Appeals)

Informal Resolution

1. An opportunity for an informal resolution shall be completed as expeditiously as possible so that a hearing and decision issued, if necessary, may be completed within sixty (60) days of the filing of the Complaint, Grievance or appeal request.
   1. When a Complaint, Grievance, or appeal has been resolved through an informal resolution process, the Complainant/Grievant or Appellant and the Respondent(s) shall enter into a formal written resolution agreement.
2. If the Parties choose to resolve the Complaint, Grievance, or appeal through an informal resolution, they must make good faith efforts to do so prior to the scheduled hearing date and within sixty (60) days of the filing of the Complaint, Grievance or appeal.
3. Parties are encouraged to resolve matters informally; however, failure to informally resolve a matter does not warrant dismissal of the Complaint, Grievance, or appeal, nor should it be taken into consideration as part of the facts to be judged during the resolution process.
4. IWD Hearing for Customer Service Complaints – the hearing will be done by a three-member panel
5. DIAL ALJ Hearing Process for Complaints Regarding Services - Denial, Revocation, and Termination
   1. Requests for a hearing with the Administrative Hearing Division shall be made by the Complainant, Grievant or Appellant to IWD as soon as possible after the Complaint, Grievance or appeal request is filed, but in no event later than thirty (30) days after filing a Complaint, Grievance or appeal request.
      1. IWD shall refer the case to DIAL Administrative Hearing Division to conduct the hearing on a Complaint, Grievance, or appeal in accordance with Iowa Code Chapter 17A.
   2. As consistent with the Administrative Hearing Division’s policies, notices will be sent out prior to the hearing.  The notice will include the date, time, and place of the hearing.
   3. Complete records shall be kept of the hearing via audio recording, a court reporter, or by other means of recording as needed.

Hearing Procedures Specific to Customer Service Complaints/Grievances Initially Filed at the State Level

Customer Service Complaints shall be heard by a three-member panel at IWD.

1. If circumstances allow, the panel may conduct the hearing via telephonic or electronic means.
2. Complaints or appeals regarding disruption, revocation, or termination in services and/or benefits shall be referred to the Administrative Hearing Division at DIAL. The assigned Administrative Law Judge shall conduct the hearing in a manner consistent with Iowa Code Chapter 17A.
   1. All Parties shall be allowed the opportunity to present evidence, cross-examine witnesses, and be represented by legal counsel.
   2. The Party requesting the hearing shall have the burden of establishing the facts and the entitlement to relief requested.
   3. The Respondent(s) shall cooperate by making available any information and to release any documentation requested in advance of a hearing by the Complainant/Grievant after the State Hearing Officer deems it appropriate and relevant to the Complaint or Grievance.
   4. The Respondent(s) shall also make available any person under their control or employ to testify, if these persons are requested to testify by the Complainant or Grievant in advance of a hearing and the State Hearing Officer deems the testimony to be elicited from such persons appropriate and relevant to the Complaint or Grievance.
   5. Hearings will only cover those issues listed in the written Complaint or Grievance.  If a Complainant or Grievant files more than one (1) Complaint or Grievance against the same Respondent(s) at or near the same time, the State Hearing Officer may combine the issues from the Complaints or Grievances into a single hearing for purposes of administrative efficiency and after providing notice to the Parties.

IWD Panel Hearing Procedures for Appeals of customer complaints

1. If circumstances allow, the IWD panel may conduct the hearing via telephonic or electronic means.
2. The IWD panel shall conduct the hearing in an informal manner.
3. All Parties shall be allowed the opportunity to present oral arguments on the facts and issues presented at the local level and may choose to be represented by legal counsel.
4. The Parties shall not be permitted to submit new evidence or new documents on appeal from local level matters, and the State Hearing Officer’s review and decision shall be based solely on the written record from the local level, the appeal request, any response filed by the Respondent(s) and the oral arguments made by the Parties.
5. The Appellant shall have the burden of establishing the entitlement to the relief requested.
6. Hearings will only cover those issues appealed from the local level and specified in the Appellant’s appeal request.

Decisions Issued After a Hearing by the IWD Panel or After State Review of an Appeal

1. The IWD Panel (for customer service hearings) or the designated IWD Staff (if a hearing is waived on appeal), as applicable, will make a written decision and it shall be sent, if possible, by certified mail, with return receipt requested, within sixty (60) days of the filing of the Complaint, Grievance, or appeal request. If sending a decision via certified mail is not reasonable or possible, the decision may be sent by email or regular U.S. Mail.
2. The IWD Panel (for hearings) or the designated IWD Staff (if a hearing is waived on appeal), as applicable, will determine whether:  (1) the local level hearing was conducted in accordance with the local level hearing procedures, if applicable, and (2) the actions complained of violated any WIOA statute, regulations or policies.
3. The IWD Panel or IWD designated Staff’s decision, as applicable, shall contain the following:
   1. The names of the Parties involved;
   2. A statement of the alleged violations;
   3. A statement of the facts presented during the hearing or in the appeal request and response if the hearing was waived;
   4. The issue(s) being decided;
   5. The decision and the reasons for the decision;
   6. A statement of corrective actions or remedies, if appropriate;
   7. A statement assuring that all steps included in the state level procedures have been adhered to; and
   8. Notice that any Party has the right to appeal the decision by the IWD Panel or IWD Staff to the U.S. Secretary of Labor.
4. A copy of all decisions by the State Hearing Officer will be concurrently sent to the IWD designated staff listed on the Contacts tab.
5. Remedies that may be imposed for violations of any requirement of WIOA, its regulations and policies shall be limited to:
   1. Suspension or termination of payments under WIOA Title I;
   2. Prohibition of placement of a participant with an employer that has violated any requirement under WIOA Title I;
   3. Where applicable, reinstatement of an employee, payment of lost wages and benefits, and reestablishment of relevant terms, conditions, and privileges of employment; and
   4. Where appropriate, other equitable relief.