Chapter 19: Complaints Process

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• 19-1 Introduction
• 19-2 Labor Compliance Policy Bulletin 09-3: Prevailing Wage Complaints
• 19-3 Notice Requirements
• 19-4 Tracking of Complaint Processing

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19-1 Introduction

The California Code of Regulations, Title 8, Section 16434(b) (8 CCR 16434(b)), “Duties of Labor Compliance Program,” indicates that upon receipt of a written complaint alleging that a contractor or subcontractor has failed to pay prevailing wages as required by the California Labor Code, the Labor Compliance program must do all of the following:

1. Within 15 days after receipt of the complaint, send a written acknowledgment to the complaining party that the complaint has been received, and provide the name, address, and telephone number of the investigator assigned to the complaint
2. Within 15 days after receipt of the complaint, provide the affected contractor with the notice required under California Labor Code Section 1775(c) if the complaint is against a subcontractor
3. Notify the complaining party in writing of the resolution of the complaint within 10 days after the complaint has been resolved by the Labor Compliance program
4. Notify the complaining party in writing at least once every 30 days of the status of a complaint that has not been resolved by the Labor Compliance program
5. Notify the complaining party in writing at least once every 90 days of the status of a complaint that has been resolved by the Labor Compliance program but remains under review or in litigation before another entity.

For contracts that are administered by the Division of Construction, the district or region Labor Compliance office will handle the complaint investigation process.

In the event a contract manager receives a complaint for a contract that is not administered by the Division of Construction, they are to send the complaint to headquarters Labor Compliance unit for further investigation and enforcement.

19-2 Labor Compliance Policy Bulletin 09-3: Prevailing Wage Complaints

Labor Compliance Policy Bulletin (LCPB) 09-3, “Prevailing Wage Complaints,” lists the procedure for processing labor compliance complaints. The complaints are legitimate inquiries into a contractor’s administration and may indicate a more widespread labor compliance issue.

If the investigation of complaints is not timely, consistent, and sufficient, Caltrans runs the risk of creating an unfair playing field for contract bidders, which in turn, may lead to the revocation of the approved Labor Compliance program and jeopardize federal-aid funding.

Processing complaints is composed of three standardized elements:

1. Notice requirements
2. Investigation
3. Resolution

19-3 Notice Requirements

Upon receipt of a written complaint, the Labor Compliance staff must do all of the following:

1. Within 15 days after receiving the complaint:
1. Send the Notice Complaint Assignment to the complainant acknowledging receipt of the complaint and the name, address and telephone number of the assigned investigator.
2. Send the Notice of Complaint Filed to the affected prime contractor with the notice required under California Labor Code Section 1775(c) if the complaint is against a subcontractor.
2. For complaints that have not been resolved by Caltrans’ Labor Compliance unit, notify the complainant in writing at least once every 30 days of the status using the Notice of Complaint Status.
3. For complaints that have been resolved by Caltrans’ Labor Compliance unit, notify the complainant within 10 days of resolution using the Notice of Complaint Closed and the Notice of Complaint Closed-Contractor.
4. If a complaint has been referred by Caltrans’ labor compliance program as a wage case to DIR and is currently within the labor case approval or administrative hearing process, send the Notice of Complaint Status – Department of Industrial Relations Referral at least once every 90 days.

If the complaint is made verbally, the date a verbal complaint is received is considered the receipt date. Labor compliance staff will:

• Obtain as much information from the complainant as possible regarding pay, record of hours worked.
• Maintain comprehensive written documentation of the conversation.
• Send the Notice of Complaint Assignment within 15 days of receipt of the verbal complaint.
  • Include confirmation of the conversation with the complainant
  • Send the Caltrans Prevailing Wage Complaint Form to help the complainant provide additional information that may contribute to the investigation. Send the Spanish version, if needed.
• NOTE: The complainant is not required to return the complaint form to initiate an investigation.

If the complaint involves a bona fide apprentice registered with DIR Division of Apprenticeship Standards, send the Notice of Apprenticeship Referral to the Division of Apprenticeship Standards, in addition to the notices above.

19-4 Tracking of Complaint Processing

Each district or region needs to track all received complaints as well as the status of all complaints.

Headquarters Labor Compliance unit is working on implementing an online complaint-management process using the Smartsheet system.

Figure 19-A, “Complaint Process,” presents an overview of the complaint process.

 

FIGURE 19‑A: COMPLAINT PROCESS