Introduction to the Method of Administration

1
Introduction to the Method of Administration

• Elba Colón, Jessica Larkin
• U.S. Department of Labor
• Civil Rights Center
• Office of Compliance Assistance Planning

2
What is the Methods of Administration?

• Written document addressing each element with
  supporting documentation
• Signed by the Governor
• Gives a reasonable guarantee of compliance with
  Section 188 and 29 CFR Part 37.54

3
MOA Format

• Narrative and
• Supporting Documentation.

4
What are the MOA Elements?

• 1. Designation of Equal Opportunity Officers
• 2. Equal Opportunity Notice Communication
• 3. Assurances
• 4. Universal Access
• 5. Compliance with Disability Laws
• 6. Data Collection Recordkeeping
• 7. Monitoring
• 8. Complaint Processing Procedures
• 9. Corrective Actions/Sanctions Procedures

5
Methods of AdministrationMOA Element 1

• Equal Opportunity Officers

6
Equal Opportunity Officers

• Serve as individuals responsible for
  coordinating equal opportunity activities to
  fulfill Recipients obligations under the
  nondiscrimination and equal opportunity
  requirements of WIA (29 CFR 37.25)

7

Equal Opportunity Officer Responsibilities

• Serves as liaison with Civil Rights Center
• Conducts EO compliance monitoring and
  investigations (Analyses by race/ ethnicity, sex,
  age, and disability status to determine cause of
  significant differences)
• Reviews written policies
• Develops and publishes procedures for
  discrimination complaint processes
• Develops and implements Methods of
• Administration
• Reporting on EO matters directly to the top
  official

8
Methods of AdministrationMOA Element 2

• Notice and Communication

9
Key Requirements ForNotice and Communication

1. The recipient must provide initial and continuing
   Notice that it does not discriminate on any
   prohibited ground (29 CFR 37.29-37.34).
2. The recipient must provide information that
   describes an individuals right to file a
   discrimination complaint (29 CFR 37.30 and
   37.36).
3. The recipient must effectively communicate the
   Equal Opportunity Is The Law Notice to
   individuals with disabilities and to other
   populations with special needs (29 CFR 37.31,
   37.34 and 37.35).

10
Provide Initial Continuing Notice

• Identify EO Officer and Provide Contact
  Information
• Provide EO Is the Law notice to All Appropriate
  Parties
• Communicate the Notice Sufficiently

11
Provide Information on an Individuals Right to
File Complaint

• EO is the Law
• What to Do If You Believe You Have Experienced
  Discrimination
• You may file a complaint with either
• Recipient
• Person whom the recipient has designated for this
  purpose
• Civil Rights Center (CRC)

12
Provide Effective Notice to Persons with Special
Needs

• Effectively communicate the EO Is the Law
  Notice to persons with disabilities or special
  needs

• Provide notices in formats appropriate to persons
  with visual impairment
• Provide appropriate auxiliary aid or service
  where necessary
• Mention the recipients TDD/TYY or relay service
  whenever it is said that the recipient can be
  reached by phone
• Ensure that persons with disabilities and other
  special needs can, if they so desire, obtain
  information on the availability and location of
  accessible services, activities, and facilities
• Communicate, in the appropriate language, where a
  significant percentage of the recipients
  eligible population is made up of persons with
  limited English

13
Methods of AdministrationMOA Element 3

• Assurances

14
Assurance Requirementsfor Recipients

• Description of procedures established to ensure
  that their procurement contracting officers
  incorporate the Assurances into all appropriate
  documentation, including grants, cooperative
  agreements, and contracts to carry out the
  programs and activities funded under WIA
• Description of procedures they have established
  to ensure programmatic and architectural
  accessibility for individuals with disabilities

15
Supporting Documentation

• Copy of Assurance pages of plans, contracts, and
  other agreements
• Copy of memos or directives to contract managers
  advising them to include the required Assurances
  in the appropriate documents
• Copy 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
• Copy of procedures to review the ability of grant
  applicants and training providers seeking
  eligibility to comply with the nondiscrimination
  and equal opportunity provisions of WIA
• Copy of WIA EO issuance (e.g., the general EO
  policy statement, the policy statement on sexual
  harassment, and the policy statement on religious
  accommodation)

16
Methods of AdministrationMOA Element 4

• Universal Access

17
Key Requirement forUniversal Access

• WIA recipients are required to provide universal
  access to all WIA funded programs and activities
  (29 CFR 37.42).

• Universal Access - Ensuring that an equivalent
  level of information regarding aid, benefits,
  services, and training is provided to all
  populations of eligible participants

18
Key Requirement forUniversal Access (cont.)

• Recipients must demonstrate a reasonable effort
  to include varying demographic groups in their
  WIA programs and activities, including

• Both sexes
• Various racial and ethnic groups
• Individuals with disabilities
• Different age groups

19
Outreach Recruitment PlansWhat Reasonable
Plans Include

• Establishing procedures for listing job openings
  and available programs or service opportunities
  that reach the greatest number of the local
  service area population
• Developing relationships with community
  organizations
• Assigning staff and resources to carry out the
  outreach plan
• Ensuring staff awareness of the outreach plan
  through training and orientation

20
Supporting DocumentationUniversal Access

• Copies of plans for targeting, outreach, and
  recruitment (state or local level)
• Copies of criteria for determining priority of
  services
• Copies of One-Stop operators universal access
  plans
• Samples of brochures, posters, or Public Service
  Announcements

21
Methods of AdministrationMOA Element 5

• Compliance with Federal Disability Laws

22
Compliance with Federal Disability Laws

• What Federal Laws Protect Applicants/Customers
  and Employees with Disabilities?
• Three relevant laws
• Section 504 of the Rehabilitation Act of 1973
  (29 CFR Part 32)
• WIA Section 188 ( 29 CFR Part 37)
• Americans with Disabilities Act Amendments Act of
  2008 (ADAAA) (no implementing regulations
  published yet)

23
MOA Narrative Requirements

• Describe how the State ensures that recipients
• Conform to the regulatory requirements not to
  discriminate on the basis of disability (29 CFR
  32.12 (a), 32.26, and 37.7.)
• Provide reasonable accommodation for individuals
  with disabilities (29 CFR 32.13 and 29 CFR 37.8)
• Provide reasonable modification of policies,
  practices and procedures, as required (29 CFR
  37.8)

24
The MOA should document how recipients

• Dont discriminate based on disability
• Provide reasonable accommodations / modifications
• Provide services in integrated settings
• Communicate effectively with people with
  disabilities
• Provide architectural and programmatic
  accessibility
• Regularly review selection criteria
• Deal appropriately with medical and
  disability-related information (various
  regulatory requirements)

25
Methods of AdministrationMOA Element 6

• Data and Information Collection and Maintenance

26
Key Requirement Ensure a Properly Functioning
Data Collection System

• About whom must data be collected?
• Applicants
• Registrants
• Eligible applicants/registrants
• Participants
• Terminees
• Employees
• Applicants for employment

27
Key Requirement Ensure a Properly Functioning
Data Collection System

• What data must be collected?
• Demographic information including
• Race/ethnicity
• Sex
• Age
• Disability status, where known

28
Key Requirement Provide Information to CRC
Director

• Recipients must collect the required data and
  provide them to the Director of the CRC upon
  request. (29 CFR 37.37).

29
Key Requirement Maintain Data in a Confidential
Manner

• Implementing regulation 29 CFR 37.37 requires
  that data collected be maintained in a
  confidential manner.

30
Supporting DocumentationData Collection and
Maintenance

• Instructions regarding information collection and
  access, and maintenance of records
• Samples of policy issuances that discuss
  confidentiality of demographic information
• Samples of reports regarding demographic
  information
• Copies of the procedures used to ensure
  confidentiality of demographic information
• Samples of formats and instructions, in hard copy
  and electronic file forms, of the Complaint Log

31
Methods of AdministrationMOA Element 7

• Monitoring and Compliance

32
Monitoring Responsibilities

• Each Governor must establish monitoring
  procedures (29 CFR 37.37)
• System to periodically monitor all aspects of the
  recipients compliance with WIA
• System to monitor compliance with the
  nondiscrimination and equal opportunity
  requirements under WIA Section 188

33
EO Monitoring Review System Must Include

• Review of recipients compliance with
  administrative obligations
• Notice and Communication
• EO Officers
• Assurances
• Review of recipients compliance with MOA
  responsibilities
• Review of programs and activities to determine
  whether discrimination is occurring

34
Periodic Monitoring ReviewMust Include

• Analyzing recipients data and records (29 CFR
  37-41)
• Evaluating compliance with administrative
  obligations under the MOA.
• Investigating significant differences across
  groups

• EO Officers
• Assurances
• Notice communication
• Universal access
• Data and information

• Complaint processing procedures
• Performance of recipient responsibilities
  assigned by state through MOA

35
Supporting Documentation Monitoring

• Policy procedural issuances on required
  elements of the MOA
• Monitoring instruments and instructions
• Evidence of the extent to which nondiscrimination
  and EO policies have been developed and
  communicated as required
• Information on the extent to which EO training
  has been carried out or is planned
• Reports of monitoring reviews and reports of
  follow-up actions taken under those reviews where
  violations have been found, including appropriate
  sanctions
• Notices made under Notice and Communication

36
Methods of AdministrationMOA Element 8

• Complaint Processing Procedures

37
General Requirements

• Each state must adopt and publish procedures for
  processing complaints alleging discrimination
  against any WIA recipient (29 CFR 37.77)
• The Governor, LWIA, and the EO Officers are
  responsible for developing and publishing
  complaint procedures
• (29 CFR 37.77)
• The EO Officer is responsible for ensuring that
  recipients follow procedures for processing
  discrimination complaints under 29 CFR 37.76
  37.79. (29 CFR 37.25 d)
• The procedures must provide the complainant with
  the option to file with the recipient or directly
  with CRC. (29 CFR 37.71 and 37.76)
• All recipients must comply with the complaint
  procedures. (29 CFR 37.77)

38
Required Elements

• Initial written notice
• Written statement of issues
• Process for fact-finding
• Alternative Dispute Resolution process
• Written Notice of Final Action

39
Supporting Documentation

• A copy of the states discrimination complaint
  procedures developed pursuant to the regulatory
  requirements of the regulations
• A copy of directives, memoranda, or any other
  instruments used to inform recipients of the
  complaint procedures
• A copy of the ADR procedures, if not included
  with the complaint processing

40
Supporting Documentation

• Describe
• How the state will communicate policies,
  procedures and systems to all recipients
• How the recipients have made, and will continue
  making, efforts to ensure proper complaint
  processing
• How the state will support and evaluate the
  success of its recipients complaint processing
  efforts

41
Methods of AdministrationMOA Element 9

• Corrective Actions and Sanctions

42
Key Requirements

• Establish procedures for effecting corrective
  actions and applying sanctions, if needed, to
  ensure that resolution of any noncompliance can
  be enforced
• Maintain submit documentation to show that
  corrective actions and prospective relief plans
  are being implemented and maintained
• Impose sanctions for violations that are not
  voluntarily corrected

43
Key Requirement

• Take corrective action when there is probable
  cause to believe a violation has occurred and
  violation has been identified as a result of
• Monitoring review
• Discrimination complaint
• Both

44
Key Requirement

• Take immediate corrective action agree on plan
  if immediate corrective action is not possible
• Completely correct each violation
• Establish minimum time frame to completely
  correct the violation
• Institute follow-up monitoring procedures to
  ensure commitments to take corrective action and
  remedial action are being fulfilled
• Provide written agreement or assurance to
  document corrective action taken or prospective
  relief planned

45
Key Requirement

• State must have procedures in place to impose
  sanctions when all attempts to provide assistance
  to effect voluntary correction of a violation
  have failed or when it is apparent that the
  recipient fails or refuses to correct the
  violation within the timeframe established.

46
Supporting DocumentationCorrective Actions and
Sanctions

• Regulations implementing Section 188 of the
  Workforce Investment Act require that the
  following documentation be available

1. Copies of any policy memorandum or directives
explaining corrective actions and sanctions 2.
Copies of each instrument used to inform
recipients of the states procedures regarding
corrective actions and sanctions
47
Supporting Documentation

• Policy communications and directives to LWIAs
  instructing recipients on how to comply with the
  Corrective Actions and Sanctions requirements
• States procedures for penalizing or censuring a
  non-complying recipient and a table of sanctions
  that may be applied
• Additional MOA requirements imposed by the state
  to implement the requirements of Corrective
  Actions and Sanctions

48
CRC Information

• Web site www.dol.gov/oasam/programs/crc/
• Colon.elba_at_dol.gov
• Larkin.Jessica_at_dol.gov
• 202-693-6560
• TTY [phone]/16

49
CRC Information

• Web site
• www.dol.gov/oasam/programs/crc/
• Office of Compliance Assistance Planning
• [phone]
• Office of External Enforcement
• [phone]
• TTY [phone]/16