Civil Rights Compliance and Equal Opportunity Monitoring · Civil Rights Compliance and Equal...

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Civil Rights Compliance and Equal Opportunity

Monitoring

Part I: Desk Review For WIA and other State and Federally Funded Programs

http://www.positivelyminnesota.com/

Civil Rights Compliance and Equal Opportunity Monitoring Tool

Department of Employment and Economic Development Workforce Development Division – Technical Assistance and Support

1st National Bank Building 332 Minnesota Street, Suite E-200

St. Paul, Minnesota 55101



Table of Contents

Table of Contents 3

Introduction 4

General Information 5

Element 1 - Designation of Equal Opportunity Officer 6

Element 2 - Notice and Communication 7

Element 3 – Assurances 9

Element 4– Universal Access 9

Element 5– Compliance with Section 504 10

Element 6– Data and Information Collection and Maintenance 13

Element 7– Monitor Recipients for Compliance 14

Element 8 – Complaint Processing Procedures 14

Element 9– Corrective Actions/Sanctions 16


Introduction Section 188 of the Workforce Investment Act of 1998 (WIA) and its implementing regulations, 29 CFR Part 37, require that States conduct periodic monitoring reviews to determine whether each recipient is operating its WIA Title I-financially assisted program or activity in a nondiscriminatory way. This “Civil Rights Compliance and Equal Opportunity (EO) Monitoring Reviewer’s Guide” is Minnesota’s document designed to encompass WIA’s monitoring responsibilities. Monitoring reviews consist of:

1. Desk Audit: This is usually prepared and reviewed by the Workforce Service Area (WSA) Equal Opportunity (EO) Officer prior to the onsite visit. It includes compliance elements such as notice, communication, complaint procedures and processes. It also consists of a review of program and participant data compared to 2010 Census data and other relevant community data such as Unemployment Insurance applicant and Dislocated Worker data, and a statistical analysis of applicant/participant race, ethnicity, sex, age, and disability status.

2. On Site Review: This section of the review mirrors the nine elements found in WIA’s Methods of Administration (MOA) and is a comprehensive look at:

a) Programs, services, and employment practices of recipients receiving WIA Title I funding. b) ADA Review: Assesses physical and programmatic access of services to include participants with

disabilities. 3. Interviews and Program Assessments: Includes participant and employee interviews; case file reviews, and

program recruitment efforts. Recipient is defined as any entity to which financial assistance under WIA Title I is extended, either directly from the Department or through the Governor or another recipient (including any successor, assignee, or transferee of a recipient), but excluding the ultimate beneficiaries of the WIA Title I-funded program or activity. In instances in which a Governor operates a program or activity, either directly or through a State agency, using discretionary funds apportioned to him or her under WIA Title I (rather than disbursing the funds to another recipient), the Governor is also a recipient. “Recipient” includes, but is not limited to:

1) State-level agencies that administer, or are financed in whole or in part with, WIA Title I funds; 2) State Employment Security Agencies; 3) State and local Workforce Investment Boards; 4) LWIA grant recipients; 5) One-Stop operators; 6) Service providers, including eligible training providers; 7) On-the-Job Training (OJT) employers; 8) Job Corps contractors and center operators, excluding the operators of federally-operated Job Corps

centers; 9) Job Corps national training contractors; 10) Outreach and admissions agencies, including Job Corps contractors that perform these functions; 11) Placement agencies, including Job Corps contractors that perform these functions; and 12) Other National Program recipients.

Please respond to the following items for the period covering the most recent program year.


General Monitoring Review Information

Workforce Service Area (WSA):

Date(s) of Visit:

Program Year:

Monitored by:

Participants at Process meeting:

Staff:

Program of Participant:

Equal Opportunity Officer:


Element 1 - Designation of Equal Opportunity Officer Reference: 29 CFR Part 37.23 through 37.28

The Workforce Investment Act of 1998 (WIA) Title I requires that Program Providers must designate an Equal Opportunity Officer (EOO) to ensure compliance with the nondiscrimination and equal opportunity provisions of WIA Title I.

1. Name of local Equal Opportunity (EO) Officer: Provide position description and organizational chart for the EO officer.

2. To whom does the EO officer report?

3. Describe any non-EO related job functions that appear on the Position Description that may create

or appear to create a conflict of interest.

4. How do participants and service providers know the EO Officer’s identity?

5. On what internal and external communications about the local nondiscrimination and equal opportunity programs does the EO Officer’s identity and contact information appear? Provide examples.

6. What professional training has the EO officer attended? Provide types and dates of training.

7. What EO training was provided to staff? Provide types, dates, and locations of training.

8. What EO training was provided to recipient’s service providers and contractors? Please be specific.

9. Describe any staffing support for the EO officer, if any.


Does the EO Officer: YES NO

Process discrimination complaints?

Review participant reports for equity of service?

Conduct on-site visits to service providers/contractors, or:

review monitoring reports to ensure that its service providers and contractors are not violating their nondiscrimination obligations?

Review written policies to make sure they are nondiscriminatory?

Develop and publish discrimination complaint procedures?

Element 2 - Notice and Communication Reference: 29 CFR Part 37.29 through 37.36

Recipients of WIA Title I funding must indicate in all communications (internal and external) that their WIA financially

assisted program or services do not discriminate on the basis of any prohibited ground. WIA Rules and Regulations require

that staff at WorkForce Centers inform customers of their various rights under equal opportunity and non-discrimination

laws and regulations.

10. Where are the WIA Notice to the Public, “Equal Opportunity is the Law” posters displayed and

in what languages?

11. What steps are taken, in addition to the required posters, to ensure continuing notice of the

right to file a discrimination complaint?

12. How does the recipient ensure continuing notice of equal opportunity and nondiscrimination are provided to the following groups: Please provide examples.

Applicants, registrants, participants


Limited English Proficiency

Employees and applicants for employment

Other recipients of WIA funds

Members of the public

Members of the public with disabilities

Unions or professional organizations that hold collective bargaining or professional agreement with your organization

13. How is the Equal Opportunity Notice provided in alternate formats for individuals with

disabilities, including those with visual impairment?

14. How are participants notified of their rights to file a complaint?

15. Does the form include the required WIA “Equal Opportunity is the Law” language? Please provide a copy

16. Are EO taglines included in all brochures, pamphlets and flyers? Provide samples

“We are an equal opportunity employer/program provider.”

“Auxiliary aids and services are available upon request to individuals with disabilities.”

17. Is the tagline included in public announcements and broadcasts?

18. How has the recipient communicated to sub-recipients the requirement not to discriminate on

the basis of disability and the obligation to provide reasonable?

19. In all communications, where it is indicated that providers may be contacted by telephone, what

is the telephone number for the TTY or Minnesota Relay?


Element 3 – Assurances Reference: 29 CFR 37.20 through 37.22

Recipients of WIA Title I funds are to incorporate an assurance of nondiscrimination and equal opportunity when contracting for WIA Title I services. Each application for financial assistance under Title I of WIA must include the assurance.

20. Do contracts contain the required equal opportunity assurance language? Provide: example of a sub-contract Equal Opportunity Assurance section.

21. What equal opportunity and nondiscrimination policies are in place for employees? Please provide copies.

Element 4– Universal Access Reference: 29 CFR Part 37.42

States are required to provide universal access to all WIA Title I funded programs and activities. Universal access means

ensuring that an equivalent level of information regarding aid, benefits, services, and training is provided to all populations

of eligible participants.

22. Who is the English as a Second Language (ESL) coordinator?

23. In your service area, what language, other than English, is information routinely provided?

24. What steps have been taken to ensure services and other information is provided to Limited

English Proficient (LEP) persons?

25. What documents have been determined “vital” and translated into languages designated as essential? Please provide examples.

26. What outreach plans, strategies, and activities have been identified for the various groups you

serve (members of both sexes, various racial and ethnic groups, individuals with disabilities,

individuals in differing age groups)?


27. Do these outreach plans include advertising, notices to schools and community service groups

and consultation with community service groups?

Element 5– Compliance with Section 504 References: 29 CFR Part 37.7 – 37.9

29 CFR Part 37.54 (d)(2)(v) 39 CFR Part 32 Subparts B and C

The overarching principle of federal disability nondiscrimination law is that people with disabilities must be treated as individuals, not on the basis of assumptions and stereotypes about their disabilities. Under this principle, all organizations that receive WIA and State funding for employment and training programs from DEED are required to focus on the skills, strengths and abilities of a particular customer or employee with a disability, and to provide the reasonable accommodations / modifications, and the auxiliary aids and services, the customer or employee needs in order to utilize those skills, strengths, and abilities.

28. Who is the designated Americans with Disabilities (ADA) coordinator for the Workforce Service Area (WSA)?

29. How does the WSA meet its obligation not to discriminate on the basis of disability?

Program Accessibility

30. How is it ensured that qualified individuals with disabilities are provided an equal opportunity to participate in and benefit from programs and services provided?

31. How is it ensured that programs and activities are administered in the most integrated settings possible?

32. How are qualified individuals with disabilities integrated to the greatest extent possible (alongside – not segregated from – people without disabilities) in their participation in programs and services?


33. If a recipient provides a different or separate service or program for individuals with disabilities, how is it ensured to be as effective as the mainstream services for persons without disabilities?

34. How are reasonable accommodations provided to qualified individual with disabilities when registering, providing aid, benefits, services, or training and support services?

35. How is it ensured that an individual with a disability is not required to accept an accommodation, aid, benefit, service, training, or opportunity that the individual chooses not to accept?

36. Does the recipient have a written reasonable accommodation policy? If so, please provide a copy.

37. How is it ensured that, for employment-related training, the selection criteria are reviewed to ensure that they do not screen out, or tend to screen out, an individual with a disability or any class of individuals with disabilities?

38. Please describe the availability of assistive equipment for individuals with disabilities.

39. Is the recipient’s website ADA accessible?

40. Describe how the operation of programs and activities are readily accessible to qualified individuals with disabilities, through means such as:

redesign of equipment;

reassignment of classes or other services to accessible buildings;

assignment of aides to beneficiaries;

home visits;

delivery of services at alternative accessible sites;


alteration of existing facilities and construction of new facilities in conformance with

standards for new construction; or

Any other method that results in making its program or activity accessible to individuals with

disabilities.

Architectural Accessibility

41. How is it insured that, in determining the site or location of a facility, selections are not made that

have a discriminatory effect?

42. Have ADA assessments been completed for each area office in your WSA?

Please list dates of completion.

43. If structural changes are needed, is there a transition plan on file? If not, please explain when it is expected they will be completed. If yes, please provide a copy.

44. How often are recipient and sub-recipient facilities monitored to ensure accessibility?

45. Are recipient and service provider sites accessible to individuals with disabilities?

46. Is there at least one entrance to the building that is wheel chair accessible? If yes, does it have the international symbol for accessibility for individuals with disabilities posted? If no, where are these clients directed to go? Explain.

47. Do inaccessible entrances have signs indicating the location of the nearest accessible entrance? Explain.

48. Are there designated restrooms with appropriate signage available for individuals with disabilities? Explain.


49. Is TTY/TDD or Minnesota Relay available for use? Explain.

Employment Practices

50. Does the recipient have a written reasonable accommodation policy? If yes, please provide a copy.

51. Describe efforts to prohibit disability discrimination in employment practices.

Are reasonable accommodations provided in employment?

Are pre-employment inquiries regarding disability prohibited except to ask the individual to self-identify as a person with a disability on a confidential, voluntary basis for reporting purposes?

52. How is it ensured that job qualifications, promotion opportunities, and training do not exclude individuals with disabilities because of their disability but are consistent with business necessity and safe performance?

Element 6– Data and Information Collection and Maintenance Reference: 29 CFR Part 37.37 through 37.49

Each state must ensure that a data and information collection and maintenance system for its WIA Title I-financially assisted State programs is established and maintained. Each state must collect such data and maintain such records, in accordance with prescribed procedures to determine whether the recipient has complied or is complying with the nondiscrimination and equal opportunity provisions of section 188 of WIA.

53. Who is the Records Management Coordinator?

54. Identify data resources used to conduct data analysis regarding the population being served?

2010 Census Data


School Enrollment Data

UI Applicant Data

DWP (Dislocated Worker Program) Data

MFIP (Minnesota Family Investment Program) Data

CRS (Custom Registration System) Data

Other Data Resources

55. Who is the Data Practice Coordinator?

56. Please provide a copy of your Data Practices and Tennessen Warning Notices.

57. How is data maintained under safeguards that will restrict access to authorized personnel only?

Please explain.

Element 7– Monitor Recipients for Compliance Reference: 29 CFR Part 37.51 through 37.54

Every State Governor is obligated to establish one or more systems for periodically monitoring the compliance of each recipient’s WIA Title I-financially assisted program with the nondiscrimination and equal opportunity provisions of the DOL’s WIA section 188 and its implementing regulations 29 CFR 37.

58. Has the EO Officer conducted monitoring visits of recipients and sub-recipients? If yes, please provide list of who, where, and when.

59. Identify the process for monitoring recipients and sub-recipients.

60. Please provide a record and/or summary report of EO monitoring visits (dates, locations, entities and findings) since the last monitoring review.

Element 8 – Complaint Processing Procedures Reference: 29 CFR Part 37.70 though 37.89


Section 188 of WIA Title I prohibits discrimination on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and for beneficiaries only, citizenship as a lawfully admitted immigrant authorized to work in the United States, or participation in any WIA Title I financially assisted program or activity (29 CFR 37.1). Minnesota State Law also prohibits discrimination on the basis of creed, marital status, status in regard to public assistance, membership or activity in a local commission, sexual orientation, or genetic information (Minn. Stat. 363A.08). Each WIA program provider must develop, publish, and maintain a complaint procedure regarding program services and discrimination.

61. What discrimination complaint policies and procedures do you have in place? Please provide copies.

62. Explain how customers and employees can obtain a copy of the discrimination complaint policy and procedures and/or discrimination complaint form?

63. Does the discrimination complaint log for any discrimination complaints include the following: Please provide a copy of the discrimination complaint log for review.

Name and address of complainant Name and address of respondent Basis of complaint Respondent Brief description of complaint Date filed Disposition Date of Disposition Other pertinent information

64. Please list any formal complaints that have been filed with the recipient since the last EO

monitoring visit. If needed, please use additional paper.

Please respond to the following concerning each formal complaint:

Was the complaint filed within 180 days? Was the complainant provided a written notification of receipt of the complaint within

10 days? Was the complainant provided a written statement of each of the issues raised in the

complaint and whether you would accept or reject each issue? Was the complainant sent a written notice of lack of jurisdiction when the LWIA

determined that it did not have jurisdiction over a complaint? Was the complainant notified that they have the right to representation in the

complaint process? Was the complainant offered Alternative Dispute Resolution as an effort to resolve the

complaint? Was the complainant provided a written Notice of Final Action within 90 days of the

date the complaint was filed? Did the Notice of Final Action contain your decision on each issue and an explanation of

the reason underlying the decision?


Did the Notice of Final Action inform the complainant that he/she has a right to file a complaint with the Civil Rights Center within 30 days of the date in which the Notice of Final Action is issued if he/she is dissatisfied with your final action on the complaint?

Has the State EO Officer been advised of the complaint?

65. Are discrimination complaint records kept for a period of six years?

66. How is the identity of the complainant or any individual who furnishes information relating to an investigation kept confidential to the extent possible?

67. How is an individual who filed a complaint or assisted or participated in any manner in an investigation, protected from discharge, intimidation, retaliation, threat, or coercion?

68. Describe the policy for handling discrimination complaints from contractors regarding participants. Please include a copy.

Element 9– Corrective Actions/Sanctions Reference: 29 CRF Part 37.54

Workforce Investment Act of 1998 (WIA) Title I recipients of Federal financial assistance must establish procedures for carrying out corrective actions and applying sanctions, if needed, to ensure that recipients are complying and will continue to comply with the requirements of 29 CFR 37.54(d)(2)(vii).

69. Describe the LWIA procedures for obtaining voluntary compliance when equal opportunity violations are found.

70. What is the follow up policy for violations?

71. Describe any corrective actions/sanctions taken against contractors since the last monitoring review.


Review completed by:___________________________________________________________________________ Date_________________________________________________________________________________________

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