State:
Reviewer: Date:
The AU@ indicates that the general standard has been met.
The AO@ indicates no discussion at all on the general
standard.
The AX@ indicates that the general standard has not been met
& comments are attached.
ELEMENT 1: DESIGNATION OF EQUAL OPPORTUNITY
OFFICER
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Each individual designated as a State-level Equal
Opportunity Officer and each individual designated as a local level Equal
Opportunity Officer are identified by name, position title, business
address (including e-mail address if applicable) and telephone number
(including TDD/TTY number). (See 29CFR 37.23.) |
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The level within the organization of the position
occupied by the EO Officer(s) is described in terms of the
individual=s authority and reporting level to the top
official (e.g. senior level, etc.). (See 29 CFR
37.24.) |
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The EO Officer=s duties/responsibilities appear to constitute a
conflict of interest or the appearance of such. (See 29 CFR 37.24) |
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The EO Officer=s level provides for access to the top officials
of the organization on EO matters and a discussion of how this access is
achieved and communicated. (See 29 CFR 37.24.) |
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The duties of the EO Officer(s) are described
sufficiently and the manner in which those duties are carried out. (At a
minimum, the duties assigned to the EO |
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Officer must include those listed in 29 CFR
37.25.) The individual
to whom the EO Officer reports on EO matters by name, job title, and
organization must also be included. |
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(A) Serving as the recipients= liaison with CRC; |
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(B) Monitoring and investigating the
recipient=s activities, and the activities of the entities
that receive WIA Title I funds from the recipient, to make sure that the
recipient and its subrecipients are not violating their nondiscrimination
and equal opportunity obligations under WIA Title I and this
part; |
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(C) Reviewing the recipient=s written policies to make sure that those
policies are nondiscriminatory; |
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(D) Developing and publishing the
recipient=s procedures for processing discrimination complaints
under '' 37.76 through 37.79, and making sure that those
procedures are followed; |
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(E) Reporting directly to the appropriate top
level official (including, but not limited to, the State WIA Director,
Governor=s WIA liaison, Job Corps Center Director, SESA
Administrator or LWIA grant recipient) about equal opportunity
matters; |
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(F) Undergoing training (at the
recipient=s expense) to maintain competency, if the Director
requires him or her, and/or his or her staff, to do so;
and |
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(G) If applicable, overseeing the development and
implementation of the recipient=s Methods of Administration under ' 37.54. |
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Describes the EO duties, responsibilities and
activities associated with the implementation of 29 CFR part 37, (i.e.
handling complaints, monitoring, data collection and analysis, etc.) and
all other duties, responsibilities and activities |
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The manner in which the recipient makes known the
identity of the EO
Officer(s) to applicants, registrants, eligible
applicants/
registrants, participants, employees, and
applicants for employment, as
well as interested members of the public. (See 29
CFR 37.26.) Note: The description should be clear as to how, when, and
by whom this requirement is implemented. |
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The level of staff and other resources available
to State‑ and local‑level EO Officer(s) to ensure that WIA Title
I‑financially assisted programs and activities operate in a
nondiscriminatory way are identified and deemed to be adequate.
(See 29 CFR 37.26(c).) Note: The description
should address support staff; other substate EO liaison staff; staff that
are used to monitor (if different from EO staff) Are these staff/resources
sufficient for the EO officer to ensure compliance with 29 CFR 37? |
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The State's plan for ensuring that State‑ and
local‑level EO Officers and their staffs are sufficiently trained to
maintain competency is adequate. (See 29 CFR 37.26(d).) Note: The description should
include more than a commitment to train. In this description, if the
State has designated local-level EO officers/liaison staff, it is expected
there should be discussion on how the EO officer will ensure that they
have received and will continue to receive training on carrying out EO
responsibilities. You should
look for documentation to support what is
stated. |
DOCUMENTATION FOR ELEMENT
1:
Please assess the specific documentation provided
by the State. |
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Examples of such document include (notices,
directives, memoranda, letters to community groups, flyers, and relevant
pages of handbooks and manuals) that communicates, either internally or
externally, the EO Officer's name and other required information to
registrants, applicants, eligible applicants/registrants, participants,
applicants for employment, employees, and interested members of the
public. |
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Examples of each communication (e.g., directives)
that instructs the State's recipients as to the actions they are to take
to comply with 29 CFR 37.23 through 28 with regard to EO
Officers. |
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A copy of the State EO Officer's position
description, showing those duties specifically related to WIA equal
opportunity activities, and other duties is
provided. |
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A representative sample of local‑level EO Officer
position descriptions is provided unless a single, standard position
description has been adopted for all local‑level EO Officers. In that case, a single copy of
that description is sufficient. |
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Copies of the official organization chart(s)
showing the organizational location of each EO Officer and the reporting
relationship on EO matters is provided. |
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The identity of any staff who perform duties that
support WIA EO activities (e.g., clerical, data analysis) along with a
position description for each such staff member, and the average hours per
week spent on EO‑related activities by each such staff member (if
positions are not devoted to WIA equal opportunity activities on a
full‑time basis) are provided. |
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EO budget and source of funds for EO related
activities are provided. |
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Summary of EO‑related training that staff (EO
staff and others) have received and a schedule of EO training delivered or
to be delivered in the future is provided. This may be training delivered
by the State‑ or local‑level EO Officer to recipient staff, or training
delivered to EO Officers or recipient staff by outside sources, such as
CRC. |
ELEMENT
2: NOTICE AND COMMUNICATION |
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Requirement |
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A
copy of the AEO
is The Law@ Notice that meets the wording requirements under 29 CFR part 37.30, is
provided. |
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The
method and frequency for disseminating the EO notice to
registrants/applicants/ and eligible applicants/registrants; participants,
applicants for employment and employees/union or professional organization
that hold collective bargaining agreements or professional agreements with
the recipient; subrecipients; and members of the public is sufficiently
described in the narrative. Based on the narrative, assess whether the notice is: |
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A) Posted is prominently in a
reasonable number of places? |
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B) Is disseminated in internal
memoranda and other written or electronic communication? |
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C) Is included in handbooks or
manuals? |
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A
description of how the EO notice is provided for individuals with
disabilities (both hearing and visually impaired) is sufficiently
addressed in the narrative. (See 29 CFR 37.31(b).) |
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A
description of how the participants are provided an opportunity to sign a
copy (signed or unsigned) of the EO notice and the procedure for making
the copy (signed or unsigned) for making it a part of the participant=s file is
sufficiently addressed. (See 29 CFR 37.31(a).) |
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Where
participant files are maintained electronically, a description of how the
requirement for participant signature and inclusion of the notice in
participant=s
file are and will be met is sufficiently addressed. |
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The
MOA describes how the state ensures that within its WIA system, services
and information in languages other than English are provided. Such
activities include: |
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A) A thorough annual assessment of
the language needs of a significant number or proportion of the population
to be served (documented results of analysis should be addressed in the
MOA.) |
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MOA
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B) An identification of reasonable
steps, based on the results of the annual assessment, it has and will
implement the provide services and information in appropriate
language. This information
includes the initial and continuing notice required under 29 CFR 37.29 and 37.30 and all
information that is communicated under 37.34. |
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C) A description of the procedures
that have been implemented to meet the particularized language needs of
limited English speaking individuals who seek services/information from the recipient in
circumstances other than those indicated above. |
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D) Policy statement/guidance issued
on the procedures for identifying and assessing the language needs of its
LEP applicants/clients that provide for a range of interpreter assistance,
notification to LEP persons, in appropriate language, of the right to free
language assistance, etc. |
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A
description of how the State disseminates the EO notice to its
subrecipients throughout the WIA system is sufficiently
addressed. |
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A
description of how the State/Administrative entities ensure that
subrecipients post the EO notice as required. |
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A
description of how the State ensures that recruitment brochures and other
materials routinely made available to the public include the statement Aequal
opportunity employer/program@ and Aauxiliary aids and
services are available upon request to individuals with disabilities.@ is sufficiently
addressed. Also, where a
telephone number is included on these materials, a TDD/TTY number is also
provided. (See 29 CFR
37.34(a).) |
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A
description of the manner in which and the extent to which orientation for
registrants, applicants, eligible registrants/applicants, employees,
applicants for employment, and members of the public are made aware of the
rights of such persons to file a complaint under 29 CFR 37 is sufficiently
addressed. (See 27 CFR
37.36). |
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A
description of the steps taken to ensure that communications with
individuals with disabilities are as effective as communication with
others is sufficiently addressed. (See 29 CFR 37.29(b).) |
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MOA
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A
description of the process the State has used and will continue to use to
develop and communicate policy and conduct training regarding
nondiscrimination and equal opportunity is sufficiently addressed. (See 29
CFR 37.25(c), and 37.54(d)(2)(iii), and 37.54(d)(2)(vi).) |
Documentation
for Element 2:
Please
assess the documentation provided by the State. |
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A
copy of each communication that instructs the State's recipients on how
they are to comply with the requirements of 37.29 through 37.36 regarding
notice and communication. |
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A
copy of the posted notice required by 29 CFR 37.29 and 37.30. |
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A
copy of any checklist of the contents of participant and
employee
files, indicating that the notice requirement has been met.
(See
29 CFR 37.31(a)(4).) |
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A
copy of any orientation agendas that include, as an agenda
item,
a discussion of equal opportunity and nondiscrimination under WIA section
188 and 29 CFR part 37. (See 29 CFR 37.36.) |
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A
copy of each item of material, distributed at orientation
sessions,
that addresses the rights of individuals under WIA section
188
and 27 CFR part 37. (See 29 CFR 37.36.) |
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Copies
of agendas (and a list of dates) of past and proposed EO
policy
briefings and EO training. (See 29 CFR 37.25(f), 37.26(d) and 29 CFR
37.54(d)(2)(vi).) |
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A
copy of each policy issuance or instruction that relates to
WIA
section 188 or 29 CFR part 37. (See 29 CFR 37.25(c), 37.54(d)(iii), 29 CFR
54(d)(vi) and 37.54(d)(viii).) |
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A
copy of each recruitment brochure and other item of material
distributed
to the public by a WIA Title I‑financially assisted
recipient,
showing that each includes: The statements ``equal opportunity employer/program'' and
``auxiliary aids and services are available upon request to individuals
with disabilities''; and the telephone numbers for TDD/TTY access and/or
telephone relay
services.
(See 29 CFR 37.34(a).) |
ELEMENT
3: ASSURANCES
The
MOA sufficiently describes how the State ensures that: |
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MOA
Requirement |
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Each
grant applicant, and each training provider seeking eligibility, includes
in its application for financial assistance under Title I of WIA the
required EO assurance. (See 29 CFR 37.20(a)(1).) |
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The
required assurance is incorporated into each grant, cooperative agreement,
contract, or other arrangement whereby Federal financial assistance under
Title I of WIA is made available. (See 29 CFR 37.20(a)(2).) NOTE: 29 CFR
37.20(a)(2) provides that the assurance may be incorporated by reference
into these documents. |
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Each
grant applicant, and each training provider seeking eligibility, is able
to provide programmatic and architectural accessibility for individuals
with disabilities. (See subpart C of 29 CFR part 32.) |
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Job
training plans, contracts, assurances, and other similar agreements
entered into by recipients are both nondiscriminatory and contain the
required language regarding nondiscrimination and equal opportunity. (See
29 CFR 37.54(b)(2)(iv).) |
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State‑
and local‑level policy issuances, or issuances from other recipients, are
not discriminatory either in intent or effect. (See 29 CFR
37.54(d)(2)(iii).) |
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Policies
on WIA Title I nondiscrimination and/or equal opportunity issues are
developed and implemented in a timely manner. |
DOCUMENTATION
FOR ELEMENT 3
Please
assess the documentation provided by the State. |
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A
copy of each directive that instructs individuals at the State and/or
local level who are responsible for reviewing assurances, job training
plans, contracts, and policies and procedures as to the requirements of,
and their duties under, 29 CFR 37.20, 37.54(d)(1)(i), and (d)(2)(i), (iii)
and (iv). |
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Copies
of assurance pages of plans, contracts, and other agreements. |
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Copies
of memos or directives to contract managers advising them to include the
required assurance in the appropriate documents. |
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Copies
of checklists or other guidelines used by contract specialists, attorneys,
or others who review contracts and agreements that indicate that
nondiscrimination and equal opportunity are considered in the evaluation
of such documents. |
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A
copy of procedures developed to review the ability of grant applicants,
and training providers seeking eligibility, to comply with the
nondiscrimination and equal opportunity provisions of WIA and 29 CFR part
37. |
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A
copy of each WIA EO issuance (e.g., the general EO policy statement, the
policy statement on sexual harassment and the policy statement on
religious accommodation). |
ELEMENT
4: UNIVERSAL ACCESS (See 29 CFR 37.54 (d)(1)(vi).) |
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The
MOA narrative includes an assessment by the State of the population to be
served for each One Stop/LWIA including: the various racial and ethnic
groups; members of both sexes; individuals with disabilities; individuals
in different age groups; and individuals with different language
needs. This assessment
applies to those considered for employment and participation in WIA
programs and activities. |
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Based
on the results of this assessment, the State has developed outreach and
recruitment plans for broadening the pool of those groups where the
assessment indicates that their participation and employment levels should
be increased. |
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The
State=s plan
should include the requirements for establishing communication linkages
with community or advocacy organizations for participation and employment
to increase outreach, along with a listing of these
organizations. |
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The
State=s plan
should include the criteria that will be used for determining priority of
services for participants beyond the self service phase. |
Documentation
for Element 4:
Please
assess the documentation provided by the State. |
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Copies
of targeting, outreach and recruitment plans. |
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Criteria
for determining priority of service. |
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Copies
of plans for One‑Stop delivery systems to expand the pool of those
considered for participation or employment in their programs and by
race/ethnicity, sex, disability status, age, and language needs. |
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Samples
of brochures, posters, public‑service announcements, computer screens
displaying related information, and other publicity
materials. |
ELEMENT
5: COMPLIANCE WITH 504 DISABILITY REQUIREMENTS
The
MOA describes in sufficient detail how the State and substate
levels: |
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Meet
their obligation not to discriminate on the basis of disability. (See 29
CFR 32.12 (a), 32.26, and 37.7.) |
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Provide
reasonable accommodation for individuals with disabilities (See 29 CFR
32.13 and 29 CFR 37.8) |
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Provide
reasonable modification of policies, practices and procedures, as required
(See 29 CFR 37.8) |
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Provide
architectural accessibility for individuals with disabilities (See 29 CFR
32.28) |
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Provide
programmatic accessibility for persons with disabilities (See 29 CFR
32.27) |
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Provide
for and adhere to a schedule to evaluate job qualifications to ensure that
the qualifications do not discriminate on the basis of disability. (See 29
CFR 32.14.) |
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Limit
preemployment/employment medical inquiries to those permitted by and in
accordance with WIA section 188, Section 504, the Americans with
Disabilities Act of 1990, and their implementing regulations. (See 29 CFR
32.15.) |
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Ensure
the confidentiality of medical information provided by registrants,
applicants, eligible applicants/registrants, participants, employees, and
applicants for employment. (See 29 CFR 32.15.) |
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Administer
their WIA Title I‑financially assisted programs and activities so that
each individual with a disability participates in the most integrated
setting appropriate to that individual. (See 29 CFR 37.7(d).) |
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Are
able to communicate with persons with disabilities as effectively as with
others. (See 29 CFR 37.9.) |
Documentation
for Element 5:
Please
assess the documentation provided by the State. |
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Copies
of policies/procedures issued by the State or any of its
WIA
Title I recipients, including: |
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MOA
Requirement |
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The
procedures by which persons with disabilities are assured of participation
in programs and activities in as integrated setting as possible. |
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The
procedures by which the availability of reasonable accommodation and
reasonable modification are made known to persons with disabilities, and
the procedures for making and resolving such requests. |
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The
procedures by which the State ensures that communication with persons with
disabilities is as effective as communication with
others |
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The
procedures by which the State ensures that the programs and activities
operated by its WIA Title I recipients are architecturally and
programmatically accessible to individuals with disabilities. |
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Any
evaluation conducted to determine the programmatic or
architectural
accessibility of a WIA Title I‑financially assisted
program
or activity and the status of any corrective actions taken by the
recipient involved. |
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Copies
of publications and agendas for any training conducted for recipient staff
that is intended to raise awareness of disability
issues. |
ELEMENT
6: DATA AND INFORMATION COLLECTION & MAINTENANCE
The
MOA describes in sufficient detail: |
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Requirement |
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The
system it has in place to collect and maintain records on
applicants/registrants, eligible applicants/registrants, participants,
terminees, employees, and applicants for employment. |
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The
responsibility of the substate levels and service providers in the
collection and maintenance of data. |
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The
system it has in place to collect and record race/ethicity, sex, age, and
disability status of each individual in the categories identified above
(i.e. applicant/registrants, etc.) |
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The
definition of an applicant/registrant for services for data collections
purposes (under 29 CFR 37 in the preamble section, A... an individual is
considered an Aapplicant@ at the point at
which s/he submits personal information (e.g. name, address or SSI, etc.)
in response to a request by the recipient for such information). |
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The
procedures used by the State to ensure that records of the above listed
individuals are maintained for a period of not less than 3
years. |
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The
process by which EO reports are generated and made available to the EO
Officer and other appropriate personnel for review and
evaluation. |
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The
procedure by which the log of discrimination complaints filed on the bases
covered under 29 CFR 37 is maintained as required and includes the
following information:
Name,
address of the complainant, the basis, a description of the complaint,
date filed, disposition, date of disposition and any other pertinent
information. |
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The
procedure the State has in place by which grant applicants and recipients
notify CRC of administrative enforcement actions and lawsuits brought
against them that allege discrimination on a basis covered under 29 CFR
37. |
Note:
ES/UI are required partners in WIA, therefore, the MOA should include a
discussion of what data is collected for these programs. |
Documentation
for Element 6:
Please
List and Assess Documentation Provided by the State. |
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MOA
Requirement |
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Instructions
to recipients within the State regarding information collection, access to
records, and maintenance of records. (See 29 CFR 37.37.) |
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Samples
of each policy issuance that discusses ensuring the confidentiality of
demographic information regarding individuals. |
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Samples
of reports regarding the above demographic information. |
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Samples
of formats and instructions, in hard copy and electronic file forms, for
complaint logs used by the State and its recipients to track complaints
that allege a violation of 29 CFR Part 37. |
ELEMENT
7: MONITORING RECIPIENTS FOR COMPLIANCE
The
MOA describes in sufficient detail: |
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MOA
Requirement |
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How
the data and records collected are analyzed by the recipients pursuant to
29 CFR 37.37 through 41, to determine whether any differences based upon
race/ethnicity or sex have practical or statistical significance. |
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The
identity of the individuals and their job titles who are responsible for
conducting these analysis. |
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If
the State and local-level EO Officers are not responsible, what role do
they play in coordinating the analysis of data? |
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Where
significant differences are found, follow‑up investigations to determine,
through records review, interviews, and other appropriate investigative
techniques, whether the differences are due to discrimination what is the
process and who has representation. |
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The
system for evaluating the extent to which recipients are complying with
the administrative obligations of 29 CFR 37 including:
$ Assurances. (See 29 CFR 37.20 through 37.22.)
$ Equal Opportunity Officers. (See 29 CFR 37.23
through 37.28.)
$ Notice and communication. (See 29 CFR 37.29
through 37.36.)
$ Data and information collection and maintenance.
(See 29 CFR 37.37 through 37.41.)
$ Universal access. (See 29 CFR 37.42.)
$ Complaint processing procedures. (See 29 CFR 37.70
through 37.80.) |
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Performing
the responsibilities assigned such recipients by the State through the
MOA, such as:
$ Conducting equal opportunity monitoring/evaluation
reviews of applicants for and
recipients of WIA Title I financial assistance (including monitoring
assurances and programmatic and architectural accessibility). |
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Requirement |
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$ Imposing sanctions and corrective actions for
violations noted by a recipient during its monitoring reviews. |
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$ Ensuring policy development, communication, and
training are carried out. |
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Ensuring
that their programs and activities are operating in a nondiscriminatory
manner and ensuring equal opportunity, including but not limited to:
$ Conducting analyses, by race/ethnicity and sex, of
program and employment activity, including but not limited to rates of
application, placement, and termination, to determine if significant
differences exist, and
$ Conducting follow‑up monitoring to determine the
cause of any such differences, through the analysis of the records of
individual registrants, applicants, eligible applicants/registrants,
employees and applicants for employment; interviews; and other appropriate
techniques. |
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The
procedure for reviewing recipients' policies and procedures, to ensure
that the policies and procedures do not violate the prohibitions contained
in 29 CFR 37.5 through 37.10. |
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The
written reports prepared for each review. These reports must provide,
among other things, that the results of the monitoring review will be made
available to the recipient(s) reviewed. |
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The
involvement of the State‑ and local‑level EO Officer(s) in conducting
reviews. Where EO monitoring is carried out by individuals other than the
State‑ or local‑level EO Officer, the narrative should provide the names,
titles, and organizations of those persons. |
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What
training is provided to these individuals and by whom? How does the State EO Officer
coordinate the review efforts from start to finish? |
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The
procedure for determining which recipients are to be reviewed, the
frequency of reviews of recipients, and the number of recipients to be
reviewed per year. |
Documentation
for Element 7:
Please
assess the following documentation. |
Pg
# |
U |
O |
X |
MOA
Requirement |
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Schedules
of reviews and criteria for targeting recipients for review. |
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Monitoring
instrument(s) used by State‑ and/or local‑level staff to monitor recipient
EO activities. |
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Policy
issuances and procedural guidance regarding monitoring reviews and
recipient evaluations. |
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A
representative sample of reports of monitoring reviews, including findings
resulting from reviews and the status of follow‑up
actions |
ELEMENT
8: COMPLAINT PROCESSING PROCEDURES
The
MOA describes in sufficient detail: |
Pg
# |
U |
O |
X |
MOA
Requirement |
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The
State=s
complaint procedures that have been developed and published for
investigating complaints that allege discrimination on the basis of race,
color, national origin, religion, sex, age, disability, political
affiliation or belief, and for beneficiaries only, citizenship status for
WIA. Note: Basis not
covered by WIA should not be included B if there are
procedures, please note if other bases are included and identify
them. |
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That
complaints may be filed alleging intimidation and retaliation in
accordance with 29 CFR 37.11. |
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$ Who may file a complaint |
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$ Complaint may be filed with CRC or Recipient and
with whom there is the 180 day time period for filing. |
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$ The form used for filing a complaint |
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$ Information a complaint my contain |
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$ How due process will be provided:
# right to notice of the charges
# right of representation
# right of the parties to provide evidence and
question others who present evidence
# a decision based strictly on the recorded
evidence |
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$ Include the name, title, address, telephone number
and TDD/TTY number of the individual responsible for receiving the
complaint. |
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Provide
for written notice of lack of jurisdiction of complaint, including reasons
for the determination and notice of CP=s right to file with
CRC within 30 days of the CP=s receipt of
notice. |
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Provide
for initial written notice to the CP acknowledging that the recipient has
received the complaint and notice that CP has right to
representation. |
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Provides
a written statement to CP containing the issues raised in the complaint
and for each issue, a statement whether the recipient will accept the
issue for investigation or reject the issue, and the reason for
rejection. |
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A
period for fact‑finding or investigation of the circumstances
underlying
the complaint (see 29 CFR 37.76(b)(3)) |
Pg
# |
U |
O |
X |
MOA
Requirement |
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A
period during which the recipient attempts to resolve the
complaint.
The methods available to resolve the complaint must include
alternative
dispute resolution (ADR) (see 29 CFR 37.76(b)(4) and (c)) |
Documentation
for Element 8:
Please
assess the documentation provided by the State: |
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The
State=s
discrimination complaint procedures developed pursuant to 29 CFR 37.76
through 37.79. |
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The
instrument (e.g. directive, memorandum) used to inform recipients of the
complaint procedures and directing recipients as to their use. |
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The
ADR procedures, if not included with complaint processing
procedures. |
ELEMENT
9: CORRECTIVE ACTIONS AND SANCTIONS
The
MOA describes in sufficient detail: |
Pg
# |
U |
O |
X |
MOA
Requirement |
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A
description of the corrective actions to be taken when violations are
found. Corrective actions
must be designed to completely correct technical violations (e.g. failure
to post notice, failure to collect data, etc.) and discrimination
violations. In the case of a
finding of discrimination, the procedures muse provide, where appropriate,
for retrospective relief (including but not limited to back pay) and
prospective relief (e.g. training, policy development and communication)
to ensure that the discrimination does not recur. |
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The
time frames for the completion of each corrective and remedial action
identified. |
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Provisions
for execution of a written agreement or assurance to document the
correction of the violation. |
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The
provision for follow-up monitoring to ensure that commitments are
fulfilled. |
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The
provision for reports from the violating recipient |
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The
specific sanction and sanction procedures to be followed where voluntary
compliance cannot be achieved. |
Documentation
for Element 9:
Please
assess documentation provided by the State. |
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A
copy of any policy memorandum/directive explaining this element and its
distribution. |
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A
copy of each instrument (e.g. directives, memoranda) used to inform
recipients of the State=s procedures
regarding corrective actions and sanctions. |
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