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An administrative file containing support documents on the complaint resolution process <br />hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to <br />serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of <br />the issues and the results. This information would then be available for subsequent review <br />in the event the matter is raised with the State. Such records must be retained for a three- <br />year period after the grant has been officially closed out. <br />The Santa Ana LWIA's written decision will be included in the record. Evidence received at <br />the hearing, notes by the hearing officer, stenographer's notes and tape recordings may <br />also be used. <br />E. Establishment of Complaint Procedures <br />In accordance with Section 667.600, each employing agency including private-for-profit <br />employers of participants under the Act is required to establish a complaint procedure for <br />resolving matters relating to the terms and conditions of employment. Employers may <br />operate their own grievance system or may utilize the Santa Ana LWIA's established <br />procedures under Section 667.600. At a minimum these procedures must include: <br />Written notice, upon enrollment into employment training services, of the scope and <br />availability of such procedures. Employer's grievance procedures shall be set forth in a <br />written document and must meet the regulation mandate that a complaint will be <br />resolved with sixty (60) days from the date the complaint was filed. A copy of employer's <br />grievance procedure shall be provided to each participant upon enrollment in <br />employment training. <br />2. Written notice, at the time the grievance is filed, of the procedures under which the <br />grievance will be processed. <br />3. Written notification of the disposition of the grievance and a written decision shall be <br />issued within thirty (30) days of the filing of the grievance unless a present and long <br />established grievance specifically provides other limits; and <br />4. Written notification of the participant's right to request a review of the employer's <br />decision by the Santa Ana LWIA and the State Review Panel in accordance with Section <br />667.600. <br />IV. Procedures for Handling Complaints at the State Level <br />Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the <br />Governor to establish a State Review process of complaints filed at the LWIA grant recipient <br />level and of complaints initially filed at the State level. <br />Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall <br />be reviewed by the State Review Panel. The State Review Panel shall review the record <br />established at the LWIA level and shall issue a decision based on the information contained <br />therein. <br />12 <br />EXHIBIT C