Attachment 4

Appeal Process
for
Individual Training Account (ITA) Eligibility Training Providers

Background
The Workforce Investment Act and H.B. 470 require the State to compile and disseminate a statewide list of ITA eligible training providers. The State list must be made available to all customers throughout the One-Stop system. 

If a training provider is denied from being included and/or removed from the State list, the training provider may appeal. This appeal process will address the procedure for Individual Training Account (ITA) training providers selected under the eligible training provider certification procedure. Training providers who have applied to be included on the State eligible training provider list has a right to appeal if they are dissatisfied with a decision made by Local /Policy Boards or the State. 

A two-tier appeal process will be used. The training provider must initially file a written appeal with the Local/Policy Board. Training providers who are dissatisfied with the Local/Policy Board’s decision may file a written appeal with the State. 

The Local/Policy Boards and the State will use several categories of appeal by programs ruled as ineligible for inclusion on the list: 

• Appeal of incomplete application;

• Appeal of application definitions;

• Appeal of noncompliance; and

• Appeal of inaccurate information.

Reasons for denying or removing training providers from the eligible training provider list include: 

• Failure to provide the necessary information or improperly filing an application;

• Failure to adhere to process and reporting requirements;

• Failure to meet performance levels annually;

• Failure to provide verifiable accurate information;

• Failure to apply for continuation;

• Fraud;

• The training provider requests to be removed;

• If it is determined that a training provider was not in good standing under a previous name; and/or

• If it is determined that the training provider intentionally supplied inaccurate information.

Local/Policy Board Level Appeal Process

The Local/Policy Board has the authority to deny a training provider’s application for eligibility based on the procedures established in this policy and in accordance with the criteria established by the Governor’s Workforce Policy Board for the purposes of determining initial eligibility of training providers. 

If an application is not approved the training provider has a right to appeal. The appeal process like the application process begins at the local level. If a satisfactory decision is not made locally a service provider may also appeal to the state level. All Local/Policy Boards must establish a written appeal process that must be provided to all training providers at the time of application. 

At a minimum the local appeals process must include the following: 

• the requirements for processing complaints of discrimination in accordance with 29 CFR 37.76;

• basis for denying applications or removal from the State list;

• time frame for submitting an appeal. The time frame cannot exceed 30 working days (this time frame includes final resolution) ;

• information on where to send the appeal. All appeals must be in writing and signed by the training provider;

• information on how to withdraw appeals at any time;

• the inclusion of an informal meeting (to expedite the process it is suggested that Local/Policy Boards include an informal meeting prior to a formal hearing with the training provider to resolve any issues and include this meeting as part of their appeal process).

• formal hearing

Local/Policy Boards must appoint an impartial hearing official to handle the administrative details associated with appeals. The hearing officer is responsible for providing written notice to the training provider and the Local/Policy Board regarding all details of the appeal including the final decision. 

Training providers have the right to appeal a Local/Policy Board’s final decision to the State. 

Appeal to the State

Training providers may appeal to the State if their application is denied by the Local/Policy Board or the State, the Local/Policy Board or State is taking action to remove the training provider or the program from the State’s list, or the training provider is dissatisfied with the Local/Policy Board’s final decision. 

Training providers must follow the appeal process established by the Local/Policy Boards for the local area before appealing to the State. If training providers do not follow local procedures the State will deny all applications for appeals submitted directly to the State and return them to the appropriate Local/Policy Board for action. However, if the State initiated the denial or removal of the training provider the appeal must be filed directly to the State. In all circumstances where an appeal is filed with the State these steps will apply. Training providers must submit written appeal to the State within 15 working days from their receipt of a final decision from the Local/Policy Board or from the State notification removal date. The appeal must be signed by the training provider. The appeal must include the reasons or basis for the appeal, the remedy sought, a copy of the local boards final decision and/or documentation of the States decision . 

The State will issue a final decision no later than 30 working days from receipt of the appeal filed by the training provider. The State will appoint a hearing officer who will be responsible for notifying the appellant and the Local/Policy Board in writing regarding the date of hearing and appeal status, including the final disposition. 

The hearing officer will review the appellant’s letter of appeal and supporting documentation. If the training provider fails to meet any of the time limits set in this policy or fails to follow the policy established by the Local/Policy Board or the State, that failure will constitute a forfeiture of the procedural rights to appeal to the State. The State will notify the appropriate Local/Policy Board when it receives an appeal. 

If an appeal is filed at the State based on the Local/Policy Boards decision and the State determines that the Local/Policy Board did not follow its own process the State will immediately notify the Local/Policy Board via fax, e-mail or phone call prior to issuing a written decision to the training provider. 

Training providers have the option of withdrawing appeals at any time during the process. It should be noted that all decisions issued by the State are final and cannot be appealed to the U.S. Department of Labor. 

Appeals should be submitted to: 

Ohio Department of Job and Family Services
Bureau of Workforce Investment Act
145 South Front Street
P.O. Box 1618
Columbus, Ohio 43216-1618