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					        Florida's
Methods of Administration
        http://www.floridajobs.org/civilrights/ocr_moa.htm




        Implementing the
  Nondiscrimination Regulations
            under the
 Workforce Investment Act of 1998

         Revised September 2007




                                                             on line at www.floridajobs.org
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                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)


                                                       Preface

The federal nondiscrimination regulations implementing Section 188 of the Workforce
Investment Act of 1998 (Public Law 105-220, August 7, 1998) require that the governor of each
state develop and implement a methods of administration (MOA). The MOA is designed to give
a reasonable guarantee that all recipients of federal financial assistance under the Act will
comply, and are complying with the nondiscrimination and equal-opportunity provisions of the
Act and the referenced regulations.1 The MOA must be reviewed biannually, at a minimum, and
updated whenever necessary.

This edition of the MOA includes revisions to policies and practices made at the
recommendation of the Civil Rights Center (CRC), U.S. Department of Labor (USDOL), as part
of a technical-assistance review of disability services in USDOL-financially assisted workforce
programs in Florida. The review was concluded in July 2007.

Among the more important changes are revisions to our discrimination-complaint procedures to
include additional information about filing complaints with agencies other than the Agency for
Workforce Innovation: we discuss the role of the CRC in the complaint process in particular.
We have also expanded our guidance on confidentiality and our guidance on compliance with
federal disability nondiscrimination law.

Additions to the MOA include discussion about the following:

         the Agency‘s New Employee Orientation;
         the Agency‘s planned use of on-line training offered by Florida‘s Department of
          Management Services; and,
         implementation of Employ Florida Marketplace, Florida‘s employment-services program
          for job seekers and employers.

We have made these revisions and additions as part of Florida‘s continuing commitment to
nondiscrimination in workforce programs and services.




1
    29 CFR 37.54, 37.55



                 The Agency for Workforce Innovation is an equal opportunity employer/program.
                Auxiliary aids and services are available upon request to individuals with disabilities.



Office for Civil Rights                                     i                                              September 2007
on line at: http://awitestinternet/civilrights/index.html
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                                                     State of Florida
                                             Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                            Table of Contents

Section                                                                                                                                      Page
Preface ........................................................................................................................................... i
Policy Statement on Nondiscrimination ................................................................................... ix
Introduction ................................................................................................................................ xi
    What is a Methods of Administration? ................................................................................... xi
    WIA Title I Program Administration and Oversight ............................................................. xi
        I. United States Department of Labor ............................................................................. xi
       II. State of Florida ........................................................................................................... xii
    The Agency for Workforce Innovation: Mission, Vision, and Core Values ........................ xv
    The One-Stop Career Center System .................................................................................... xv
        Exhibits
        Note: The following exhibits are available on line only.
        I-1 Workforce Florida, Inc. Board of Directors
               (www.workforceflorida.com/bcs/board.htm)
        I-2 Agency for Workforce Innovation (organizational chart)
               (http://www.floridajobs.org/about%20awi/docs/AWI%20ORG%20Chart.pdf)
        I-3 One-Stop Center Directory
               (http://www.floridajobs.org/onestop/onestopdir/index.htm)
Element 1: Designation of State- and Local-Level Equal Opportunity Officers ............... I-1
  110 State Equal Opportunity Officer ..................................................................................... I-1
  120 The State Equal Opportunity Officer's Scope of Responsibilities .................................. I-1
  130 Professional and Administrative Support Staff Available to the State Equal
        Opportunity Officer ......................................................................................................... I-2
  140 Budget ............................................................................................................................. I-2
  150 Designation of an Equal Opportunity Officer by Workforce Investment Act Recipients
        (Local Workforce Investment Boards) ............................................................................ I-3
  160 Notification of Designation of the Regional Workforce Board's
        Equal Opportunity Officer .............................................................................................. I-4
  170 Documentation by the Regional Workforce Boards ....................................................... I-5
        Exhibits for Element 1
        1-A State and Workforce Board Equal Opportunity Officers
        1-B OCR Training for EO Officers, One-Stop Disability Specialists, and Disability
               Program Navigators (sample training agendas)
Element 2: Notice and Communication .................................................................................... II-1
  210 Notice .................................................................................................................................. II-1
  211 On-line Notice to Applicants for Services ........................................................................... II-2
  212 On-line Notice to Potential Applicants for Employment with the Agency ....................... II-3
  215 Limited English Proficiency and Alternative Formatting for Individuals
        with Disabilities ............................................................................................................. II-3
  220 Publications .................................................................................................................... II-4
  230 Equal Opportunity Training ........................................................................................... II-6
Office for Civil Rights                                                  iii                                                    September 2007
                                                 State of Florida
                                         Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                       Table of Contents

Section                                                                                                                          Page
  231 Recipient Equal Opportunity Officer Training .............................................................. II-7
  232 New Employee Equal Opportunity Training ................................................................. II-7
  233 Basic Sexual Harassment Awareness and Prevention ................................................... II-9
  234 Other Staff Training ....................................................................................................... II-9
  235―Mondays with Mone‖ .................................................................................................. II-10
  240 Communiqué, Consultation Paper, and Guidance Paper Development
      and Dissemination ........................................................................................................ II-12
 250 Documentation by the Regional Workforce Boards .................................................... II-12
      Exhibits for Element 2
      2-A 1 - Equal Opportunity is the Law (poster, in English)
           2 - Equal Opportunity is the Law (poster, in Spanish)
           3 - Equal Opportunity is the Law (poster, in Haitian Creole)
           4 - Equal Opportunity is the Law (poster, in French)
      2-B Agency Equal Opportunity Policy
      2-C Agency Policy on Sexual Harassment
      2-D Language-Identification (―I speak‖) Cards
      2-E Brochure: Sexual Harassment . . . an Issue of Respect
      2-F Guide to Interview Questions
      2-G New Employee Orientation (representative agenda)
Element 3: Review Assurances, Job Training Plans, Contracts, Policies, and Procedures III-1
 310 Assurance Statement .......................................................................................................... III-1
 320 Application for Financial Assistance: Written Assurance ............................................... III-2
 330 Notification of the Requirement ........................................................................................ III-2
 340 Duration of Obligation ....................................................................................................... III-2
 350 Real Property ................................................................................................................ III-3
 360 Access to Information ........................................................................................................ III-3
 370 Review of Training Providers' Grant Applications and Requests for Approval .............. III-3
 380 Nondiscrimination Clause Review .................................................................................... III-4
 390 Policy Development and Review ...................................................................................... III-4
      Exhibits for Element 3
      3-A Memorandum to the Regional Workforce Boards (RWBs) Executive
           Directors: Contract Requirements
      3-B Core Contract Form
      3-C Contract/Grant Review Form and Instructions
Element 4: Universal Access ..................................................................................................... IV-1
 410 Outreach and Recruitment ................................................................................................ IV-1
 420 Limited English Proficiency and Alternative Formatting for Individuals
      with Disabilities ........................................................................................................... IV-3



Office for Civil Rights                                            iv                                                September 2007
                                                   State of Florida
                                           Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                          Table of Contents

Section                                                                                                                               Page
      Exhibits for Element 4
      4-A Guidance Paper 06-055: Language Assistance to Limited English Proficient
           (LEP) Persons
      4-B Document Translation Assistance
      4-C Florida Unemployment Compensation Services for Customers with
           Disabilities and Non-English Speaking Customers
Element 5: Compliance with Laws Concerning Individuals with Disabilities .................                                                V-1
 510 Communication .............................................................................................................          V-1
 520 Programmatic Accessibility ..........................................................................................                V-3
 530 Architectural Accessibility ............................................................................................             V-4
 540 Reasonable Accommodation ........................................................................................                    V-4
 545 Reasonable Modification ..............................................................................................               V-5
 550 Employment-Related Provisions ...................................................................................                    V-5
 560 Confidentiality of Information ......................................................................................                V-6
 570 State-Level Public- and Private-Sector Program Coordination ....................................                                     V-7
 575 Training .........................................................................................................................   V-8
 580 Resources on Line .........................................................................................................          V-9
 590 Documentation by the Regional Workforce Boards .....................................................                                 V-9
      Exhibits for Element 5
      5-A Agency Policy on Program Accessibility and Services to Individuals with
           Disabilities
      5-B Guidance Paper 042: Guidelines for Compliance with the Americans with
           Disabilities Act of 1990, Section 504 of the Rehabilitation Act of 1973, and
           Section 188 of the Workforce Investment Act of 1998
      5-C Workforce Investment Act (WIA) Section 188 Disability Checklist
      5-D Agency Policy on Confidentiality of Records and Public Records Requests
           and Subpoenas
      5-E Disability Program Navigator Meeting Agenda (June 2007)
Element 6: Data and Information Collection and Maintenance ......................................                                         VI-1
 610 Demographic Information ............................................................................................                 VI-1
 620 Data Confidentiality .....................................................................................................           VI-2
 630 Data Analysis ...............................................................................................................        VI-2
 640 Retention of Information ..............................................................................................              VI-3
 650 Sample Reports and Forms ..........................................................................................                  VI-4
 660 Census Data .................................................................................................................        VI-4
 670 Medical Information ....................................................................................................             VI-4




Office for Civil Rights                                                v                                                  September 2007
                                                   State of Florida
                                           Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                          Table of Contents

Section                                                                                                                               Page
      Exhibits for Element 6
      6-A 1 - First-Tier Comparative Analyses
           2 - Second-Tier Data Analyses
      6-B Data Analyses
      6-C Sample Analysis
      6-D Medical Certification (form)
Element 7: Monitoring Recipients for Compliance ......................................................... VII-1
 710 Phase One: Planning and the Desk Review ............................................................... VII-1
 720 Phase Two: The Site Review ..................................................................................... VII-2
 730 Phase Three: Report Preparation and Compliance Monitoring ................................. VII-4
 740 Conciliation ...................................................................................................................... VII-4
 750 Review Scheduling ..................................................................................................... VII-5
 760 Documentation by the Regional Workforce Boards ................................................... VII-5
      Exhibits for Element 7
      7-A Compliance-Review Notification (sample letter)
      7-B 1 - WIA Title I Programs Compliance-Review Questionnaire: Recruitment
           2 - WIA Title I Programs Compliance-Review Questionnaire: Assessment
      7-C (removed)
      7-D Participant Questionnaire: WIA Title I Programs
      7-E 1 - One-Stop Customer Questionnaire (in English)
           2 - One-Stop Customer Questionnaire (in Spanish)
           3 - One-Stop Customer Questionnaire (in English, larger print)
      7-F Community-Based Organization Questionnaire
      7-G Facility Accessibility Survey
      7-H Guide to Conducting Equal Opportunity Monitoring Reviews
      7-I 1 – Draft Report Transmittal Letter
           2 - Sample Report
      7-J 1 - The Corrective-Action Plan is Satisfactory (letter to the workforce board)
           2 - The Corrective-Action Plan is Satisfactory (internal memorandum)
           3 - The Corrective-Action Plan Requires Clarification (sample letter)
           4 - The Corrective-Action Plan Has Not Been Received (sample letter)
      7-K Compliance Review Evaluation (sample form)
      7-L Program Monitoring Process: Nondiscrimination Program Monitoring
           (charts)




Office for Civil Rights                                               vi                                                  September 2007
                                                   State of Florida
                                           Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                          Table of Contents

Section                                                                                                                                Page

Element 8: Discrimination-Complaint Processing Procedures ...................................... VIII-1
 810 Filing and Investigating Discrimination Complaints ................................................. VIII-1
 820 Alternative Dispute Resolution: Mediation .............................................................. VIII-2
 830 Intimidation and Retaliation Prohibited ..................................................................... VIII-2
 840 Record Keeping .......................................................................................................... VIII-3
 850 Dissemination of Procedures and Forms ................................................................... VIII-3
 860 Complaint-Investigation and Mediation-Program Time Lines .................................. VIII-3
      Exhibits for Element 8
      8-A 1 - Discrimination-Complaint Procedures
           2 - Procedimientos para la Presentación de Quejas por Discriminación
      8-B 1 - Discrimination Complaint Forms Package
           2 - Paquete de Formularios de Reclamo por Discriminación
      8-C 1 - Discrimination-Complaint Resolution through Mediation
           2 - Resolución de Quejas por Discriminación a través de la Mediació
      8-D Communiqué: Discrimination-Complaint Record Keeping:
           the On-line System-
      8-E Memorandum: Log-on and Use of the Office for Civil Rights On-line
           Discrimination-Complaint System
      8-F Discrimination-Complaint Investigation and Mediation Time Lines (chart)
Element 9: Corrective Actions and Sanctions (General Provisions) .................................... IX-1
 910 Corrective Action .............................................................................................................. IX-1
 920 Remedial Action ............................................................................................................... IX-1
 930 Procedures ......................................................................................................................... IX-2
 940 Monitoring ........................................................................................................................ IX-3
 950 Sanctions ........................................................................................................................... IX-3
      Exhibit for Element 9
      9-A Corrective Actions and Sanctions: Procedures

          Tables and Illustrations
             2.1 A Sample Notice to Employees: Information Workshop                                                        II-11
             4.1 Languages Spoken at Home                                                                                  IV-6
             9.1 Potential Sanctions                                                                                       IX-4




Office for Civil Rights                                               vii                                                  September 2007
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Office for Civil Rights   ix   September 2007
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                                            State of Florida
                                    Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                    Introduction


Introduction
What is a Methods of Administration?

A Methods of Administration is a document that is prepared and submitted to the United States
Department of Labor by each state that receives federal financial assistance under Title I of the
Workforce Investment Act of 1998 (WIA). The document, commonly referred to as an ―MOA,‖
is designed to give a reasonable guarantee that all recipients of federal financial assistance under
Title I of the WIA will comply, and are complying, with the nondiscrimination and equal
opportunity provisions of the WIA. These provisions are described in Section 188 of the WIA.
The governor must sign the Methods of Administration.

Federal regulations, in the form of a rule, implement the nondiscrimination and
equal-opportunity provisions of Section 188 of the WIA. These regulations are codified as
29 CFR part 37: Implementation of the Nondiscrimination and Equal Opportunity Provisions of
the Workforce Investment Act of 1998. It is these regulations that establish the requirement for
the Methods of Administration, and reference is made to various sections of 29 CFR part 37
throughout Florida‘s MOA. 2

WIA Title I Program Administration and Oversight

The following is an overview of the public- and private-sector partnership in the administration
and oversight of federal financially assisted programs under Title I of the WIA in Florida.

I. United States Department of Labor

The United States Department of Labor is responsible for the authorization and appropriation of
such funds as may be necessary for any fiscal year to the states to carry out the programs and
activities under Title I of the WIA.

Office of the Secretary

The Secretary of the United States Department of Labor reviews and approves the State Plan for
overall compliance with Sections 111 and 112 of the WIA.




2
    ―CFR‖ is the abbreviation for Code of Federal Regulations.


Office for Civil Rights                                   xi                          September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                     Introduction


Employment and Training Administration

The Employment and Training Administration (ETA) has, as one of its responsibilities, the
review and approval of the states‘ five-year strategic plans for programs under the WIA.
Florida‘s initial five-year plan was approved by the ETA on March 3, 2000.3

Civil Rights Center

The Civil Rights Center (CRC), in the Office of the Assistant Secretary for Administration and
Management, is responsible for administering and enforcing Section 188, the nondiscrimination
and equal opportunity provisions of the WIA, and 29 CFR part 37, the implementing regulations,
and for developing and issuing policies, standards, guidance, and procedures for effecting
compliance. The Director of the CRC is responsible for ensuring that each state complies with
the provisions of Section 188 and, to that end, maintains a staff that provides oversight and
technical assistance as well as complaint investigation and resolution. The Director also reviews
and approves the Methods of Administration for the WIA Title I programs for each state, and
works with the state‘s governor and equal opportunity officer for the WIA programs to ensure the
state's programs are carried out in a nondiscriminatory manner.

II. State of Florida

The Governor

The WIA and its regulations at 29 CFR part 37 designate the governor as responsible for
oversight of all WIA Title I-financially assisted state programs. The governor must establish and
adhere to a Methods of Administration for state programs as defined in the regulations.

The Workforce Innovation Act of 2000

In May 2000, the Florida Legislature passed the Workforce Innovation Act of 2000 to provide the
structure for administration and oversight of federally assisted job programs in Florida. Among
the key provisions of this landmark legislation was the establishment of the following:

       Workforce Florida, Inc.

       Workforce Florida, Inc. (WFI), a not-for-profit corporation, is the state's chief workforce-
       policy organization. Created by the Workforce Innovation Act of 2000, WFI is the principal
       architect in the state's efforts to develop and retain a highly competitive workforce responsive
3
    Re-iMagine: Creating a Workforce for Florida’s Future, Florida‘s strategic plan for 2005-2010, is on line at:
     www.workforceflorida.com/news/docs/WFI_2005-2010_Strategic_Plan.pdf.


Office for Civil Rights                                    xii                                        September 2007
                                          State of Florida
                                  Agency for Workforce Innovation
     The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                Introduction


     to the needs of employers. To improve performance and accountability, the legislation
     establishing WFI consolidated various workforce programs and funding streams, including
     Florida's pacesetting welfare reform initiative, under a single umbrella.

     Membership on the WFI Board of Directors, established to comply with Section 111 of the
     Workforce Investment Act of 1998, reflects the partnership between the public and private
     sectors and is drawn from all regions of the state. The board includes representatives from
     business and industry, the state community-college and university systems, as well as the
     several state agencies whose membership is mandated. (See Exhibit I-1.)

     The WFI Board has two standing committees—Executive and Finance—and three standing
     councils that are tasked with developing strategies to target the needs of job seekers and
     employers across the employment spectrum--from entry into the workforce to cultivating
     workers to fill coveted high-skill/high-demand jobs. On an as-needed basis, the board may
     form task forces or other special groups to focus on specific issues.

          The Youth Development Council promotes successful entry into the workforce
          through education and workplace experience that leads to self-sufficiency and career
          advancement. The components of the strategy include efforts that enlist business,
          education, and community support for students to achieve long-term career goals,
          ensuring that young people and adults entering the workplace for the first time have
          the academic and occupational skills required to succeed in the workplace.

          The Career Council helps underemployed workers improve their skills so they can
          get better jobs with better wages that provide economic self-sufficiency. It also is
          responsible for overseeing the state's welfare transition program with an expanded
          emphasis on helping former welfare recipients succeed in the workplace and avoid a
          return to dependence upon cash assistance. The strategy may also look at moving
          workers from part-time to full-time work, and embraces the concept of lifelong
          learning.

          Business Competitiveness Council programs serve as a catalyst between industry,
          economic development organizations, and training providers to identify skills needed
          to fill critical jobs necessary for business retention, expansion, and recruitment
          activities.4

     While WFI provides policy, planning, and oversight at the state level, 24 regional workforce
     boards with significant representation from the business community are largely responsible

4
    The three councils were formerly known as the First Jobs/First Wages Council, the Better Jobs/Better Wages
     Council, and the High Skills/High Wages Council, respectively.


Office for Civil Rights                               xiii                                     September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                                     Introduction


       for implementing programs in their communities. With entrepreneurial vision and in-depth
       local knowledge, these boards are encouraged to develop innovative programs that address
       the challenges and utilize the resources in their specific regions.

       The Agency for Workforce Innovation

       The Agency for Workforce Innovation, created under the Workforce Innovation Act, acts as
       the administrator of Florida's workforce-development programs.             This includes
       implementation and financial management of the state's welfare transition, unemployment
       compensation, and labor-market information initiatives, and workforce development. The
       Agency is an independent agency under the Florida Department of Management Services
       with approximately 1,470 fulltime positions statewide.5

       The Director of the Agency for Workforce Innovation (Agency) is appointed by the Governor
       and is the liaison for the Governor in administering programs under the WIA. An
       organizational overview of the five divisions within the Agency and the Unemployment
       Appeals Commission, an independent authority administratively housed within the Agency,
       is available on the Internet via the links provided below:

              Director‘s Office
               (http://www.floridajobs.org/about%20awi/about_awi.html#director)
              Workforce Services
               (http://www.floridajobs.org/about%20awi/about_awi.html#workforce)
              Unemployment Services
               (http://www.floridajobs.org/about%20awi/about_awi.html#UC)
              Office of Early Learning
               (http://www.floridajobs.org/about%20awi/about_awi.html#OEL)
              Agency Support Services
               (http://www.floridajobs.org/about%20awi/about_awi.html#support)

              Unemployment Appeals Commission
               (http://www.floridajobs.org/about%20awi/about_awi.html#UAcommission)

       An organizational chart is included as Exhibit I-2.




5
    Agency staffing information is per the Budgeted Staffing Report for July 2007.


Office for Civil Rights                                    xiv                       September 2007
                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                           Introduction


The Agency for Workforce Innovation: Mission, Vision, and Core Values

             The Agency's mission: Advance the economic well-being and self-sufficiency
              of all Floridians through premier early learning and workforce services.
             The Agency‘s vision: Children ready to learn, Floridians ready to earn.
             The Agency‘s core values: Service, Innovation, Excellence, Integrity,
              Accountability, Collaboration.

The One-Stop Career Center System

Florida's One-Stop Career Center System provides core and intensive services and training under
WIA Title I, under the oversight of the 24 regional boards. This provides maximum local
flexibility to address the special needs of the state's diverse communities. As the cornerstone of
the state service-delivery system, the one-stop centers are designed to be the primary point of
access for individuals seeking job-search, placement, and training or other job-related services
provided by one-stop partners. As of July 2007, there were 78 full-service and 12 satellite
centers in the system. A center directory is included as Exhibit I-3.




Office for Civil Rights                         xv                                  September 2007
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                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
           Element 1: Designation of State- and Local-Level Equal Opportunity Officers


Element 1: Designation of State- and Local-Level Equal Opportunity Officers
[29 CFR 37.23]

110 State Equal Opportunity Officer

Peter de Haan, Inspector Specialist in the Director‘s Office, serves as the Agency‘s equal
opportunity (EO) officer. Mr. de Haan reports to the Agency‘s Director; he attends the Director‘s
weekly management meetings and works directly with all Agency staff as necessary.

Mr. de Haan began his work in affirmative action and equal opportunity at the University of
Connecticut in 1978. From 1979 until 1982, he served as Assistant Director of the Office for
Affirmative Action Programs at the university. From 1982 until 1986 he served as Associate
Director of Equal Opportunity Programs for the State University System of Florida. He was with
Florida‘s Department of Labor and Employment Security (DLES), in the Office of Civil Rights
and Minority Affairs, from 1993 until his transfer to the Agency for Workforce Innovation on
October 1, 2000. His last position at DLES was civil rights compliance manager. Mr. de Haan
has attended training given by the Directorate of Civil Rights/Civil Rights Center (CRC), U.S.
Department of Labor (USDOL) on 29 CFR parts 34 and 37.

120 The State Equal Opportunity Officer's Scope of Responsibilities

The State EO officer coordinates the development, implementation, and monitoring of the
nondiscrimination and equal opportunity program.       The EO officer works with Agency
management and staff to ensure that the services and benefits under the Workforce Investment
Act (WIA) and other programs receiving federal financial assistance from the USDOL are
provided in an equitable manner, and that the programs are operated in compliance with
applicable federal and state nondiscrimination laws and regulations. The EO officer's duties
include but are not limited to:

    (1) serving as the state's liaison with the CRC;
    (2) assuming overall responsibility for developing and implementing the Methods of
        Administration;
    (3) acting as the primary contact for all Agency equal opportunity-related activities;
    (4) preparing and updating the Agency‘s affirmative-action plan, under Section 110.112,
        Florida Statutes;
    (5) working with staff of the Agency‘s One-Stop and Program Support process unit to:

              a. develop and disseminate EO policy to all recipients of WIA federal financial
                 assistance, to ensure uniformity in EO policy, and to make it available to the
                 general public upon request;


Office for Civil Rights                         I-1                                September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
           Element 1: Designation of State- and Local-Level Equal Opportunity Officers


              b. monitor recipient compliance with nondiscrimination mandates of the WIA and
                 other applicable laws;
              c. develop and implement a system for corrective action where there is a finding of
                 noncompliance;
              d. review and approve job training plans submitted by potential recipients for equal-
                 opportunity program-related impact; and,
              e. coordinate voluntary compliance by recipients through negotiation and
                 conciliation when noncompliance is found in nondiscrimination programs;

    (6) working with information-technology staff in the development and implementation of a
        data-collection, record-keeping, and reporting system for EO data analysis;
    (7) reviewing and revising, as necessary, discrimination-complaint processing procedures in
        accordance with WIA nondiscrimination requirements; and,
    (8) providing training and technical assistance to recipient staff concerning their equal-
        opportunity and affirmative-action responsibilities.

130 Professional and Administrative Support Staff Available to the State Equal
    Opportunity Officer

As a result of the changing nature of how services are delivered, reductions in Agency staff size,
and increases in the level of cross-function support, since early 2003 the EO officer has not had
assigned staff; however, this has not been detrimental to program operation. Responsibilities of
former staff members have either been assumed by the EO officer, with support from other
Agency offices and units, or, as in the case of program training, are fulfilled using a combination
of internal and external resources.

140 Budget

The programmatic funding for the Office for Civil Rights (OCR) is included in the allocation for
the Director‘s Office. For the 2007-2008 fiscal year, the EO officer has funding for: 12
nondiscrimination-program compliance-monitoring trips; national–conference attendance; and
attendance at the two Florida Disability Program Navigator meetings that will be held this year.

Funding is also available for training materials for the workforce-board EO officers and
disabilities-services coordinators that are not furnished electronically in advance of the training.
Funding is also available for travel as part of complaint investigations if, for example, interviews
are not conducted by telephone.




Office for Civil Rights                          I-2                                  September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 1: Designation of State- and Local-Level Equal Opportunity Officers


150 Designation of an Equal Opportunity (EO) Officer by Workforce Investment Act
    (WIA) Recipients (Local Workforce Investment Boards)6

The regulations at 29 CFR 37.23 require each recipient, other than small recipients, to designate
an individual as the EO officer. ―Recipient,‖ as defined in the regulations at 37.4, includes the
following:

             state-level agencies that administer or are financed in whole or in part with WIA
              Title I funds;
             state employment security agencies;
             state and local workforce investment boards;
             local workforce investment act grant recipients;
             one-stop operators;
             service providers, including eligible training providers;
             on-the-job training (OJT) employers;
             Job Corps contractors and center operators, excluding the operators of federally-
              operated Job Corps centers;
             Job Corps national training contractors;
             outreach and admissions agencies, including Job Corps contractors that perform these
              functions;
             placement agencies, including Job Corps contractors that perform these functions;
              and,
             other national-program recipients as discussed elsewhere in this section.

Although "small recipients"7 need not designate an EO officer with the full range of
responsibilities as described below, they must designate an individual who is responsible for
publishing the state's complaint procedures and processing of complaints in accordance with the
procedures, as described in Sections 37.76 through 37.79. Service providers as defined in
Section 37.4 likewise are not required to designate an EO officer, but must assure compliance
with the nondiscrimination and equal opportunity provisions of the WIA.

In 2001, through the Agency‘s Workforce Program Development and Guidance process
manager,8 the OCR issued a memorandum with instructions and procedures for identifying
EO officers at the regional workforce board level. The current directory of workforce-board EO

6
  Florida refers to these boards as ―regional workforce boards,‖ or RWBs. That terminology is used throughout this
   document.
7
  Small recipient: A recipient (of federal financial assistance) who (a) serves a total of fewer than 15 beneficiaries
   during the entire grant year and (b) employs fewer than 15 employees on any given day during the grant year.
   (29 CFR 37.4)
8
  Workforce Program Development and Guidance is now One-Stop and Program Support.


Office for Civil Rights                                  I-3                                         September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
              Element 1: Designation of State- and Local-Level Equal Opportunity Officers


officers is included as Exhibit 1-A. The requirement for recipients to notify the public, their
service providers, employees, and participants of the identity and contact information for the
EO officer was included in the 2001, 2004, and 2006 training for workforce-board EO officers.

Training on the nondiscrimination requirements under the WIA was provided to the workforce-
board EO officers in 2001, 2003, 2004, and 2006.9 The 2004 training for EO officers was held in
conjunction with disabilities-services training for the designated disability specialists from each
one-stop center, the Disability Program Navigators, as well as the EO officers.10 The most recent
training for the regional workforce-board EO officers was held on February 9 and 10, 2006.
Representative meeting and training agendas from the state-level training are included as
Exhibit 1-B.

Training is arranged or provided by the OCR on a periodic basis or as requested by the recipients.
Technical-assistance is also available.

The EO officer's responsibilities, as outlined in 29 CFR 37.25, include:

              serving as the regional workforce board‘s liaison with the Civil Rights Center (CRC)
               and the OCR;
              monitoring and investigating the board‘s activities, and the activities of the entities
               that receive WIA Title I funds from the board, to make sure that the board and its
               recipients are not violating their nondiscrimination and equal-opportunity obligations
               under WIA Title I and 29 CFR part 37;
              reviewing the board‘s written policies to ensure that those policies are not
               discriminatory; and,
              processing discrimination complaints in accordance with state guidelines.

160 Notification of Designation of the Regional Workforce Board's Equal Opportunity
    Officer

Recipients are required to make known to their applicants, eligible applicants, participants,
employees, and applicants for employment, the name, title, address, and telephone number of
their equal opportunity officer. This may be done by memoranda, posting, publications, etc.



9
     The February 2003 training was presented by the U.S. Department of Labor‘s Civil Rights Center.
10
     The State's Strategic Five Year Workforce Investment Plan for Title I of the WIA, approved March 3, 2000, by
     the U. S. Department of Labor, Employment Training Administration, provides that at least one person will be
     named in each office as the specialist to assist individuals with disabilities, as required by federal regulation.
     The Disability Program Navigator Initiative is discussed in Element 5.


Office for Civil Rights                                    I-4                                         September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
              Element 1: Designation of State- and Local-Level Equal Opportunity Officers


The recipient shall promptly notify the OCR whenever there is a change in the designation of the
EO officer. The OCR will promptly notify the Director, CRC.

170 Documentation by the Regional Workforce Boards11

Each regional workforce board shall have on file with the OCR:

              a copy of the designated EO officer‘s position description, enumerating the EO
               program-related duties, and
              an organizational chart showing the reporting relationship for EO program-related
               matters between the designated EO officer and the executive director.

Documentation is to be updated as changes are made.




11
     The requirements for documentation are discussed in State Guidance for Developing Methods of Administration
     Required by Regulations Implementing Section 188 of the Workforce Investment Act of 1998 (WIA); Office of the
     Secretary, U.S. Department of Labor. This Notice is in the Federal Register, vol. 65, no. 166, August 25, 2000,
     pp. 51983-51990.


Office for Civil Rights                                  I-5                                        September 2007
This page intentionally left blank.
                                        State of Florida
                                Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                               Element 2: Notice and Communication
Element 2: Notice and Communication
[29 CFR 37.29 and 37.30]

Recipients must demonstrate the establishment of a notice and communication system that makes
all registrants, applicants, eligible applicants/registrants, applicants for employment, employees, and
interested members of the public aware of the obligation to operate in a nondiscriminatory manner.
In addition, the notice and communication system must clearly express the right of members of
these groups to file complaints of discrimination at any available level. The Office for Civil Rights
(OCR) has established a web site for staff, regional workforce boards, one-stop operators, service
providers, Agency partners, customers, and the general public. The site provides access to a wealth
of nondiscrimination program-related information provided by the Agency, with links to other
Florida,     federal,     and      private-sector     web      sites;    it    can   be    found     at:
http://www.floridajobs.org/civilrights/index.html.

210 Notice

Recipients must communicate the prescribed notice to all registrants, applicants for programs and
services, participants, applicants for employment and employees; and members of the public,
including those with impaired vision or hearing, and individuals gaining access to programs or
services through electronic means. Recipients that receive Workforce Investment Act (WIA) Title I
funds from other recipients, and unions or professional organizations holding collective bargaining
or professional agreements with the recipient, must also communicate the prescribed notice. The
notice prescribes that the recipient does not discriminate on the basis of race, color, religion, sex,
age, national origin, disability, political affiliation or belief, and, for beneficiaries only, citizenship
or participation in WIA financially assisted programs. Each recipient must take appropriate steps to
ensure that communication with individuals having disabilities is as effective as communications
with others. In addition, when a significant proportion of persons to be served are individuals with
limited English proficiency, information must be provided in languages other than English.

The prescribed notice is available on the Internet at: http://www.floridajobs.org/PDG/posters.html;
notice is also provided as part of on-line registration for employment-related services and is
included in the information mailed to unemployment-compensation claimants after initial claims
filing. The information is in English, Spanish, and Haitian Creole.

Methods of initial and continuing notification include but are not limited to the following:

             posting of notices to be available to the public and staffs;
             dissemination of information by electronic communication;
             publication in newspapers and magazines;
             posting of notices or information on the Internet; and,
             distribution of memoranda or other written communications.



Office for Civil Rights                           II- 1                                     September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                    Element 2: Notice and Communication
The Agency‘s Human Resource Officer provided the notice to the collective-bargaining unit, with a
copy to the state Department of Management Services, on July 21, 2005.

Whenever a recipient passes financial assistance on to one of its service providers, the recipient
shall provide the service provider with written and other appropriate notice of its obligations under
this part.

The Agency and the regional workforce boards are responsible for ascertaining that all service
providers receive a copy of the required notices and posters, or that they have information necessary
to get the posters from the publishers or other sources.

The poster, ―Equal Opportunity is the Law,‖ is available in English, Spanish, French, and Haitian
Creole, in printed and audio format. (See Exhibits 2-A 1, A 2, A 3, and A 4.) It is also available in
Braille at each of the one-stop centers as well as from the regional workforce boards and the OCR.
The required notice is available in the same four languages in letter size for distribution to program
participants and for inclusion in participants‘ files, as required by 29 CFR 37.31(4). The poster and
notice are available on the Internet at: http://www.floridajobs.org/PDG/posters.html.

Equal-opportunity/nondiscrimination policies and procedures, applicable to Agency operation, and
available to the workforce boards for adaptation for local use, are posted on the following web site:
http://www.floridajobs.org/civilrights/ocr_policies.html.12

The OCR requires all recipients of WIA funds and other federal financial assistance received from
the U.S. Department of Labor to display three posters: "Equal Opportunity is the Law" from the
OCR; "Equal Employment Opportunity is The Law" from the U.S. Equal Employment Opportunity
Commission (EEOC), and "Florida Law Prohibits Discrimination‖ from the Florida Commission
on Human Relations (FCHR). The "Equal Opportunity is the Law" poster states the name of the
recipient, Agency for Workforce Innovation, and gives both the OCR‘s address and contact
information for the CRC. The OCR ensures, through scheduled onsite reviews, that the notice is
posted and has been placed in participants' files.13

211 On-line Notice to Applicants for Services

In 2006, Employ Florida Marketplace became operational. The Employ Florida Marketplace web
site is an online tool designed to assist job seekers or students in searching for the right job, and
to help employers who are looking for the best job candidates. The site serves as a hub for the
states workforce services while focusing on job openings and job candidates. Employ Florida
Marketplace lets the job seeker search for jobs by a radius from his or her home zip code, and by

12
     The Agency‘s Equal Opportunity Policy is also included in this MOA, as Exhibit 2-B; the Policy on Sexual
      Harassment is included as Exhibit 2-C.
13
     The notice for applicants and registrants is also part of Employ Florida Marketplace (EFM). The on-line system
      requires the individual to view a screen containing the notice as part of initial registration.


Office for Civil Rights                                II- 2                                       September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                     Element 2: Notice and Communication
city as well as by county, workforce region, specific metropolitan area or statewide. It includes a
writing tool to assist the potential job applicant with résumé preparation. It allows employers to
choose from a larger number of selection criteria, identify them as required, desirable, or not
applicable when posting jobs in the system, and to rank résumés by how well they match
employer-selection criteria.

If the potential job applicant decides to become a fully registered user with Employ Florida
Marketplace and have access to all on-line services, he or she must first advance to a screen
containing the Equal Opportunity is the Law notice. The user must then click to advance to the
next screen to begin entering personal information.

212 On-line Notice to Potential Applicants for Employment with the Agency

As a Florida state agency, the Agency for Workforce Innovation uses People First, the Internet-
based information system for state employees and those seeking a career in Florida state
government available at: https://peoplefirst.myflorida.com/logon.htm. Information about current
position    vacancies     is    available    by    position   classification     (for   example:
administrative/management positions; positions in a specific scientific field), by agency, and by
county or region in the state. The listing may also be viewed in its entirety; that is, for all
positions available throughout the state.

Although use of the Internet to obtain information is the primary resource for potential
applicants, People First staff may also be contacted via commercial telephone and TTY.
Applications are submitted via the Internet, mail or facsimile to the People First staffing
administration, in Jacksonville, Florida, for initial screening and referral to the hiring authority.

Each on-line position listing for the Agency for Workforce Innovation includes the ―tag lines‖
discussed in Elements 2 and 5, as well as the notice Equal Opportunity is the Law.14

215 Limited English Proficiency and Alternative Formatting for Individuals with
    Disabilities

Regional workforce boards are required to conduct an annual assessment of the language needs
of their service-area populations. Initial efforts to evaluate the need for communication in
alternative formats for persons with disabilities and for persons of limited English proficiency
were addressed in the workforce-board equal opportunity (EO) officer survey in 2001, and are
continuing to be addressed by the Agency as the data are collected. The availability and use of
population and labor-market data that include data for individuals who are non-English speaking


14
     The People First system is not available to the regional workforce boards, one-stop operators, or service providers
     for use in listing position vacancies. The required notices to applicants for positions with those business entities
     is included in the media announcements and local-office postings.


Office for Civil Rights                                  II- 3                                          September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                   Element 2: Notice and Communication
were discussed with the workforce-board EO officers during training provided in 2001, 2004,
and 2006.

The OCR has reformatted the language-identification cards produced by the U.S. Census Bureau
and     has    made      them      available    through   the     OCR     web     site,   at:
http://www.floridajobs.org/civilrights/docs/Language%20Identification%20Cards%20-
%20September%202005.doc; they are also included as Exhibit 2-D.

Sample data on languages spoken at home, based on the 2000 census, are shown in Table 4.1.
(See page IV-6.) These data were compiled for each of Florida‘s 67 counties and provided to the
regional workforce boards by the OCR for use in determining the language-interpretation and
document-translation needs in their respective service areas. However, the workforce boards
now have a better language-data resource at their disposal in materials that are also based on the
2000 census, provided by the U.S. Department of Labor and available at:
www.doleta.gov/reports/CensusData/LWIA_by_State.cfm?state=FL.

Communication with and access to services for individuals who speak a language other than
English, or who communicate in a form other than spoken English, is discussed in greater detail
in Element 4 – Universal Access.

220 Publications

The Agency guidance paper 042, Guidelines for Compliance with the Americans with
Disabilities Act of 1990, Section 504 of the Rehabilitation Act of 1973, and Section 188 of the
Workforce Investment Act addresses the following requirements:

      (1) Including the required tag lines if the recipient publishes, distributes, or makes available to
          the public:

                  recruitment materials, informational publications, or other materials to describe
                   the WIA and SESA15 programs; or,
                  the requirements for participation by recipients and participants.

      (2) Ensuring the recipient includes the required language (tag lines) indicating that the WIA or
          Agency financially assisted program or activity in question is:

                  an "equal opportunity employer/program" and
                  "auxiliary aids and services are available upon request to individuals with
                    disabilities."



15
     SESA is the acronym for ―state employment security agency.‖


Office for Civil Rights                               II- 4                               September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                   Element 2: Notice and Communication
The guidance paper is included as Exhibit 5-B and is also                                          available     at:
http://www.floridajobs.org/pdg/administration/042ADACompGuid042604.rtf.

The OCR has prepared templates containing the tag lines for printing as adhesive labels, in four
languages, for use in publications currently in stock that do not contain the notice. The templates
are available at: http://www.floridajobs.org/civilrights/ocr_labels.html.

The OCR discussed the following during training for workforce-board EO officers in 2001, 2004,
and 2006:

      (1) That through on-site reviews, the OCR will ensure that electronic displays, brochures and
          other materials contain the required statements and, where a telephone number is
          included in these materials, a TTY/TDD or relay service number is provided. These
          requirements may be met either by including appropriate inserts in existing materials and
          publications or by revising and reprinting such materials.
      (2) That the initial notification to recipients is available in English and languages other than
          English as necessary. During routine on-site reviews, it will be determined whether
          written and electronic notices have been posted and whether other materials have been
          provided in languages other than English.
      (3) That recipients' participant and/or employee orientations include a discussion of rights
          under the nondiscrimination and equal-opportunity provisions of the WIA; and, that a notice
          of rights is maintained in the participants' files.
      (4) That by conducting on-site reviews and program monitoring, the OCR will ensure that
          communication with individuals with disabilities is as effective as communication with
          others, as required by 29 CFR 37.29(b).
      (5) That the required notice is provided to Agency employees as part of the new-hire
          processing package that is provided to all new employees by their supervisors during their
          first week of employment. A checklist is returned to Human Resource Management
          (HRM) after the new employee reports to work and receives his or her orientation. This
          checklist is filed in the official personnel file.16
      (6) That the Unemployment Compensation Program provides notice to claimants of their rights
          and responsibilities when claiming benefits under the Florida unemployment-compensation
          law.

These subjects are addressed on an ongoing basis during training, technical-assistance visits, and
nondiscrimination-program reviews.




16
     The need for the workforce boards to ensure that they and their recipients comply with this requirement for all
     employees in Title I-financially assisted programs was also part of the discussion.


Office for Civil Rights                                II- 5                                        September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                    Element 2: Notice and Communication
The Agency‘s dissemination of the tag lines and provision of Florida Relay Service information is
shown in the following sampling:

              Internet web sites:

               o the Agency‘s home page: http://www.floridajobs.org
               o information about Unemployment Compensation services
                     (http://www.floridajobs.org/unemployment/index.html)
                      claims forms
                         (http://www.floridajobs.org/Unemployment/uc_claims_app_forms.html)
                      appeals information (https://www.floridajobs.org/appeals)
               o information from our Labor Market Statistics office
                     (www.labormarketinfo.com/index.htm)

              publications: Florida Labor Market Trends.
                   (www.labormarketinfo.com/library/pubs/trends/trends-jan192007.pdf)
              press releases: http://www.floridajobs.org/publications/news_rel.html.

The information is also in the Agency‘s brochure, Sexual Harassment . . .an Issue of Respect,
included as Exhibit 2-E.

230 Equal Opportunity Training

In fall 2002, the OCR participated in training for Agency supervisors, providing training on the
principal federal and state nondiscrimination laws that govern Agency operations as well as training
on diversity in the workplace.

The EO officer presented diversity training to 36 staff from the Agency‘s Office of Early Learning
in September 2005, to 60 Agency supervisors in November 2005, and to another 20 Unemployment
Compensation Program supervisors in April 2006. The diversity module is designed for
presentation to employees in small to mid-size groups, with time allowed for discussion.

In March 2007, the EO officer reviewed the principal federal and state nondiscrimination laws and
the Agency‘s nondiscrimination policies and procedures in two sessions for the leadership team, as
part of training on the Agency‘s Code of Personal Responsibility.17

17
     The Code of Personal Responsibility was developed pursuant to Governor Crist‘s Executive Order number 07-01,
     dated January 3, 2007. Those portions of the Code concerning nondiscrimination policies and procedures were
     taken from existing Agency policies, included as Exhibits 2-B, 2-C, and 5-A, and from the procedures included as
     Exhibits 5-A and 8-A.
     One of the requirements in the Governor‘s executive order is for each department or agency secretary in the
     executive branch of Florida state government to arrange for annual training for employees on: ethics, public
     records, open meetings, records retention, equal opportunity and proper personnel procedures


Office for Civil Rights                                 II- 6                                        September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                   Element 2: Notice and Communication
231 Recipient Equal Opportunity Officer Training

Local workforce-board EO officers are required to attend periodic training conducted by the
Office for Civil Rights whenever turnover in officers or changes in laws, policies or procedures
warrant. Training, required under 29 CFR 37.25(f), was presented in July 2001, in Tallahassee
and Tampa; in February 2003, in Miami in conjunction with disabilities-services training
provided under the auspices of the U.S. Department of Labor‘s Civil Rights Center; and in seven
locations throughout Florida in April-June 2004. Make-up training sessions were held in West
Palm Beach, Tallahassee, and Winter Haven in November-December 2004. One-on-one training
for two newly appointed EO officers was held in May 2005 as part of compliance-review trips to
nearby regions.

The most recent training for workforce board equal opportunity officers was held in February
2006.18 Representative agendas for the meetings and training are included as Exhibit 1-B.
Training for local workforce-board EO officers and training for disabilities-services coordinators
will again be presented during 2007-2008, in conjunction with the nondiscrimination-program
reviews. To help keep costs for the workforce boards to a minimum, the OCR is planning to
present training in five locations: the central Panhandle area, and two central and two coastal
areas of the Florida Peninsula.

232 New Employee Equal Opportunity Training

Under 29 CFR 37.36, the Agency and local workforce-board recipients are required to include a
presentation for new participants and employees on rights under the nondiscrimination and equal
opportunity provisions of the WIA. Similarly, discussion of rights under the Americans with
Disabilities Act, Florida nondiscrimination law, and related policies or procedures are required in
orientations for new Agency employees under DMS Personnel Rules, Chapter 60L-14.005(1)(f).

In 2006, Florida‘s Department of Management Services (DMS), working with state-agency equal
opportunity officers and training staff, developed on-line training modules for agency use as part
of employee staff-development and training. The three modules [Sexual Harassment Awareness,
The Americans with Disabilities Act (ADA), and Diversity] are designed to provide state
employees with a common knowledge and information base; the individual agencies may then
build upon this base with agency-specific information.




18
     The February 2006 training included an overview of the Civil Rights Center‘s compliance-assistance modules that
     are available on line at: www.dol.gov/oasam/programs/crc/Compassis.htm#CRC%20Online%20Training.


Office for Civil Rights                                II- 7                                        September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                     Element 2: Notice and Communication
Although primarily designed for use by state agencies, these modules are available to the regional
workforce boards, one-stop operators, and service providers, also.19 The EO officer will be
discussing these resources during fall 2007 training for the regional workforce-board equal-
opportunity officers.

New Employee Orientation

In July 2007, the Agency for Workforce Innovation implemented a one-day orientation for new
employees, which is held quarterly in a classroom setting. Included are welcoming remarks by
the Director or, in the Director‘s absence, the Deputy Director for Workforce Services and Office
of Early Learning.

The presentation by the equal opportunity officer includes the following:

          an overview of the OCR‘s responsibilities;
          a review of selected nondiscrimination laws applicable to the Agency and its programs;
          a discussion about the Methods of Administration: what it is and an overview of the nine
           elements;
          an overview of the Agency‘s policies on affirmative action/equal opportunity, sexual
           harassment; and nondiscrimination on the basis of disability;20 and,
          a discussion about the Agency‘s complaint procedures, including the prohibition against
           retaliation and the option to file with external agencies.

A copy of the entire agenda is included as Exhibit 2-G. The employee acknowledges receipt of
the Code of Personal Responsibility and the Code of Ethics in writing; these acknowledgements
are made part of the employee‘s personnel file.

Employees are asked to complete the DMS training module(s) on sexual harassment awareness
and the ADA prior to attending the Agency‘s New Employee Orientation. Effective October


19
     The links to the DMS training modules are the following:
          Sexual Harassment Awareness:
           http://dms.myflorida.com/human_resource_support/people_first/for_state_employees/training_videos/flash
           _training_videos/state_of_florida_sexual_harassment_awareness_training,
          The Americans with Disabilities Act:
           http://dms.myflorida.com/human_resource_support/people_first/for_state_employees/training_videos/flash
           _training_videos/state_of_florida_americans_with_disabilities_act_ada_training, and
          Diversity:
           http://dms.myflorida.com/human_resource_support/people_first/for_state_employees/training_videos/flash
           _training_videos/state_of_florida_diversity_training.
20
     These policies are also discussed in the Agency‘s Code of Personal Responsibility. The policies, in their entirety,
     are available on the Agency‘s web site, at: http://awitestinternet/civilrights/ocr_policies.html: they are also
     included in this Methods of Administration, as Exhibits 2-B, 2-C, and 5-A, respectively.


Office for Civil Rights                                  II- 8                                         September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                    Element 2: Notice and Communication
2007, staff attending the OCR-provided training on diversity will be asked to complete the DMS
on-line module first.

New employees are given a copy of the notice Equal Opportunity is the Law at the time of hire; the
Agency‘s form Orientation and Certification for New Hire/Transferee includes an
acknowledgement of receipt. Although this form was produced for Agency use, it is available for
adaptation and use by the workforce boards.                      A copy is available at:
http://www.floridajobs.org/forms/OrientationandCertificationforNewHireorTransferee(AWIHRM-
8%20rev.04-04).dot.

233 Basic Sexual Harassment Awareness and Prevention

In 2002, HRM staff provided training on Sexual Harassment Awareness to 1,049 Agency staff at
locations throughout the state.. During the 2004-2005 fiscal year, 107 staff attended training on
Sexual Harassment Awareness for Supervisors and 73 new employees attended training on
Sexual Harassment Awareness.

The Agency‘s policy on sexual harassment is available on line, through the OCR web site, at:
www.floridajobs.org/civilrights/ocr_policies.html.21 All employees are given and provide signed
acknowledgement of receipt for a copy of the state personnel rule and Agency policy and
procedures that address sexual harassment. Employees are also given a copy of the Agency‘s
brochure on the subject; a copy is included as Exhibit 2-E.

The regional workforce boards have primary responsibility for sexual-harassment awareness
training for non-Agency staff in their respective regions. HRM staff is available to assist in
identifying training resources and has, on occasion, provided the training for board and service-
provider staff through special arrangements. In addition, an on-line, self-paced course is
available from Dynamic Works Institute, in Rockledge, Florida.

234 Other Staff Training

Recruitment and selection were among the topics covered by HRM during the 2002 series of four-
day workshops for supervisors. A two-page guide to interview questions ―okay-to-ask/don‘t-ask‖
was included in the training handouts. A copy is included as Exhibit 2-F. Staff from Florida State
University‘s Center for Professional Development provided training on several workshop topics,
including: team building, performance management, developing people, delegation, conflict
resolution, and leadership. Approximately 350 supervisory and managerial staff attended.




21
     The policy is also included in this MOA, as Exhibit 2-C.


Office for Civil Rights                                 II- 9                       September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                   Element 2: Notice and Communication
In 2004-2005, HRM presented or sponsored training on the following (the number of attendees is
shown in parentheses):

             People First Orientation: (1,521)22
             People First Orientation for Supervisors (128)
             Customer Service (33)
             Performance Evaluation for Supervisors (47)
             ―Lunch & Learns:‖
                  o Retirement Planning for All Ages (31)
                  o The Deferred Retirement Option Program (DROP) (20)
                  o Deferred Compensation (23)
                  o Estate Planning (40)
                  o Investment Planning for Everyone (11)
                  o The Florida Retirement System: Retirement & DROP (20)
                  o Using the Florida Retirement System to Plan for Your Retirement (29)

In August 2007, HRM surveyed Agency employees to determine what additional training and
workshop topics are desired. The first ―lunch & learn‖ for 2007-2008, on the Deferred
Retirement Option Program (DROP), is scheduled for September 25 and October 30, 2007. A
sample notice to employees announcing a workshop is shown in Illustration 2.1 (next page).

235 “Mondays with Mone”

Quarterly, on the third Monday of the month, Monesia T. Brown, Director of the Agency for
Workforce Innovation, has a meeting with approximately 50 Agency employees who register in
advance. Appropriately named ―Mondays with Mone,‖ these informal sessions provide an
opportunity for employees to get to know the Director, learn first-hand what is happening
agency-wide, ask questions, voice concerns, and exchange ideas. Other members of the
Agency‘s leadership team may also attend; the Agency‘s EO officer attends whenever possible.




22
     People First is the on-line information and personnel-actions web site for state government in Florida. Current
     and former state employees, applicants for state employment, and other interested persons now get information
     and services electronically through this centralized site, and not from individual agency human resources or
     personnel offices.


Office for Civil Rights                                II-10                                        September 2007
                                     State of Florida
                             Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                             Element 2: Notice and Communication



                                             Illustration 2.1
                          A Sample Notice to Employees: Information Workshop




  Sent: Thursday, July 05, 2007 3:01 PM
  To: #$AWI Tallahassee Associates
  Subject: Deferred Compensation Workshop




                                                       Please join (name deleted) from the
                                                       Florida Department of Financial
                                                       Services, Bureau of Deferred
                                                       Compensation for this informative
                                                       workshop.

                                                       To register for this workshop, please
                                                       send me an email.

                                                       Seating is limited to 50 participants
                                                       so please sign up early.

                                                       We are an equal opportunity
                                                       employer/program. Auxiliary aids and
                                                       services are available upon request to
                                                       individuals with disabilities. Requests for
                                                       services, aids, and/or alternate formats
                                                       must be made by June 27th 2007 via e-
                                                       mail to robert.waters@awi.state.fl.us or by
                                                       calling Charlie Waters at 850 245-7109
                                                       (voice). [TTY users, please call the Relay
                                                       Service at 711.]




Office for Civil Rights                        II-11                                   September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                               Element 2: Notice and Communication
240 Communiqué, Consultation Paper, and Guidance Paper Development and
    Dissemination

The OCR develops and disseminates information, policies, guidelines, and updates by means of a
communiqué or through use of consultation and guidance papers. These are issued through the
Office of One-Stop and Program Support. Consultation papers are distributed to the regional
workforce boards and other interested parties for comment; a guidance paper is then prepared and
disseminated after receipt and review of the comments. The OCR also uses direct e-mail to the
workforce-board equal opportunity officers to convey information of special interest, with copies
provided to Agency management, staff, and the workforce board executive directors, as
appropriate, depending on the subject.

250 Documentation by the Regional Workforce Boards

Each regional workforce board is required to have the following policy statements and to furnish
a copy to the OCR:

             Equal opportunity.
             Sexual harassment prevention.
             Program and facility accommodation for individuals with disabilities.

Policy statements, prepared by the OCR and available through the OCR‘s web site at:
http://www.floridajobs.org/civilrights/ocr_policies.html or by request from the OCR, are
provided for adaptation for regional and local use.




Office for Civil Rights                         II-12                                 September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
     Element 3: Review Assurances, Job Training Plans, Contracts, Policies and Procedures


Element 3: Review Assurances, Job Training Plans, Contracts, Policies, and
           Procedures
[29 CFR 37.20-37.22; 37.54(d)(1)(i), and (2)(i), (iii) and (iv)]

310 Assurance Statement

Each recipient of federal funds under Title I of the Workforce Investment Act (WIA) must assure
that it complies with the nondiscrimination laws under the WIA. Federal regulations under the
WIA require the following nondiscrimination assurance language appear in certain documents, as
explained in more detail below, as required by 29 CFR 37.20:

         As a condition to the award of financial assistance from the Department of Labor
         under Title I of the WIA, the grant applicant assures that it will comply fully with
         the nondiscrimination and equal opportunity provisions of the following laws:

                 Section 188 of the Workforce Investment Act of 1998 (WIA), which
         prohibits discrimination against all individuals in the United States on the basis of
         race, color, religion, sex, national origin, age, disability, political affiliation or
         belief, and against beneficiaries on the basis of either citizenship/status as a
         lawfully admitted immigrant authorized to work in the United States or
         participation in any WIA Title I-financially assisted program or activity;
                 Title VI of the Civil Rights Act of 1964, as amended, which prohibits
         discrimination on the bases of race, color, and national origin;
                 Section 504 of the Rehabilitation Act of 1973, as amended, which
         prohibits discrimination against qualified individuals with disabilities;
                 The Age Discrimination Act of 1975, as amended, which prohibits
         discrimination on the basis of age; and
                 Title IX of the Education Amendments of 1972, as amended, which
         prohibits discrimination on the basis of sex in educational programs.

         The grant applicant also assures that it will comply with 29 CFR part 37 and all
         other regulations implementing the laws listed above. This assurance applies to
         the grant applicant‘s operation of the WIA Title I-financially assisted program or
         activity, and to all agreements the grant applicant makes to carry out the WIA
         Title I-financially assisted program or activity. The grant applicant understands
         that the United States has the right to seek judicial enforcement of this assurance.




Office for Civil Rights                           III-1                                 September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
     Element 3: Review Assurances, Job Training Plans, Contracts, Policies and Procedures

320 Application for Financial Assistance: Written Assurance

Every grant applicant and training provider seeking eligibility under Title I of the WIA must include
in its application for financial assistance the written assurance of nondiscrimination set out in
section 310, above.

330 Notification of the Requirement

The Agency has informed the workforce boards, in writing, of the necessity of including this
assurance in all contracts, grants, cooperative agreements, applications, or other arrangement.
The notice informs all recipients that this nondiscrimination assurance is considered incorporated
by operation of law in the grant, cooperative agreement, contract or other arrangement whereby
federal financial assistance under Title I of the WIA is made available, whether or not it is
physically incorporated in such document and whether or not there is a written agreement
between the department [that is, the U.S. Department of Labor (USDOL)] and the recipient,
between the department and the Governor, between the Governor and the recipient, or between
recipients. The assurance also may be incorporated by reference in such grants, cooperative
agreements, contracts, or other arrangements. A copy of the memorandum to the workforce
boards addressing contract requirements is included as Exhibit 3-A. A copy of the Agency‘s core
contract is included as Exhibit 3-B. The required assurance statement is in Attachment 3 to the
core contract. In addition, each workforce board, as a grantee under the WIA, has a similar
assurance on file with the Agency.

340 Duration of Obligation

Each recipient of federal financial assistance incurs certain obligations by accepting the assistance.
The duration of the obligation differs according to the type of assistance received. For personal
property, real property, structures on real property, or interest in any such property or structures, the
recipient (or subsequent transferee) will be obligated for the longer of the following time periods:

    (1) the time period during which the property is used either for the purpose the WIA Title I
        financial assistance is extended or for another purpose involving the provision of similar
        services or benefits, or
    (2) the time period during which either the recipient retains ownership or possession of the
        property or a transferee retains ownership or possession of the property without
        compensating the government for the fair market value of the ownership or possession.

In all other cases, the assurance obligates the recipient for the period during which the WIA Title I
financial assistance is extended.




Office for Civil Rights                           III-2                                   September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
       Element 3: Review Assurances, Job Training Plans, Contracts, Policies and Procedures

350 Real Property

Where the financial assistance involves real property, or improvements or interests in real property,
the recipient will ensure compliance with the following requirements:

       (1) Where the assistance is in the form of real property, each instrument effecting or recording
           the transfer must contain a covenant assuring nondiscrimination and equal opportunity for
           the time period specified in section 340, above.
       (2) Where real property or an interest therein is acquired or improved using WIA Title I
           assistance, recipients must include a covenant assuring nondiscrimination and equal
           opportunity in the instrument effecting or recording any subsequent transfer of the property.
       (3) Where the property is obtained from the federal government, a covenant assuring
           nondiscrimination and equal opportunity may also include a condition coupled with a right
           of reverter to the USDOL in the event of a breach of the covenant.

360 Access to Information

The Agency‘s Office of the General Counsel (OGC), as part of any review of grant applications and
requests for approval of eligibility for training providers, contracts, grants, cooperative agreements,
job-training plans, assurances, and similar agreements entered into by recipients providing WIA and
SESA23 program funds, ensures that they are nondiscriminatory and contain the required language
regarding nondiscrimination and equal opportunity.

All recipients of federal financial assistance under the WIA shall provide access to all documents,
papers, letters, or other materials, prepared or received by the recipient regarding the subject matter
of the contract, to the program-monitoring team, and to the Office for Civil Rights (OCR) upon
request. The monitors and the OCR shall have the right to review and copy all such material for
use in monitoring compliance with the nondiscrimination and equal-opportunity provisions of the
WIA.

Each recipient shall ensure that each of its subcontractors and other employers of participants is
aware of and has submitted to the recipient the proper assurance of compliance with federal
regulations and laws prohibiting discrimination, as provided in section 310. A record of notice
shall be maintained by the recipient and made available for review by program monitors and/or the
OCR upon request.

370 Review of Training Providers' Grant Applications and Requests for Approval

Each grant applicant and approved training provider is required to provide programmatic and
architectural accessibility for all participants. The requirements are discussed in more detail in
23
     SESA is the acronym for ―state employment security agency.‖


Office for Civil Rights                                 III-3                            September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
     Element 3: Review Assurances, Job Training Plans, Contracts, Policies and Procedures

Element 5. Grant applications and requests for approval of training providers submitted to the
Agency for Workforce Innovation are reviewed by the OGC.

A copy of the Agency's Contract/Grant Review Form and Instructions is included as
Exhibit 3-C.

380 Nondiscrimination Clause Review

All policies issued at the state or local level, as well as any other issuances from other recipients of
federal funds under Title I of the WIA, must not discriminate either in their intent or their effect.
To this end, the OCR reviews recipient policies and other documents during the site-review phase
of a compliance review.

390 Policy Development and Review

Nondiscrimination policies are to be developed by all recipients of federal financial assistance
under Title I of the WIA and disseminated by each recipient. Policy statements and guidance,
developed by the Agency, were discussed with the workforce-board equal opportunity officers at
the 2001 and 2004 training; recent additions and revisions were discussed at the training in
February 2006. Agency policies are available on line, for use as models for workforce-board policy
development, at: http://www.floridajobs.org/civilrights/ocr_policies.html.

Policy review is a component of the nondiscrimination-program reviews conducted by the OCR.
The regional workforce boards are responsible for review of one-stop operator and service-
provider policies; they are spot checked by the OCR as part of state-level reviews.

The OCR reviews drafts of proposed Agency policy and guidance having potential equal-
opportunity policy implications and makes recommendations or suggested revisions, where
necessary, to ensure compliance with the applicable laws and regulations.




Office for Civil Rights                          III-4                                   September 2007
                                         State of Florida
                                 Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                       Element 4: Universal Access


Element 4: Universal Access
[29 CFR 37.42 and 37.54(d)(1)(v)]

The Workforce Investment Act (WIA) nondiscrimination regulations, at 29 CFR 37.42, require that
recipients take appropriate steps to ensure that the composition of the pool of those considered for
participation in their programs and activities is diverse and representative of the population groups
they serve.

410 Outreach and Recruitment

Recipients must develop affirmative outreach and positive recruitment programs to increase
participation of both sexes, various racial and ethnic groups as defined in the federal Office of
Management and Budget guidelines,24 individuals with disabilities, and individuals in various age
groups.

The Office for Civil Rights (OCR) can assist recipients with outreach and recruitment plans that
will broaden the composition of their applicant, registrant, and participant pools. The
recommended outreach and recruitment strategies include but are not limited to the following:

      (1) providing recipients with a list of media and organizations that serve or target specific
          minority or women's groups; and working with regional workforce boards to update,
          publicize, and distribute the list of such groups;
      (2) advertising and publishing the recipient's programs and activities in media such as
          newspapers and radio programs that target specific populations;
      (3) sending notices regarding openings in the programs and activities, as well as information on
          how to apply for such programs and activities, to schools, universities, colleges or technical
          schools;
      (4) sending notices and periodic articles or reports to community-service groups that serve
          various populations;
      (5) developing brochures, posters and public-service announcements, and other publicity
          materials, including provision of written or printed materials in alternative formats and in
          languages other than English, as appropriate; and,
      (6) consulting with community-service organizations or groups regarding ways in which the
          recipient may improve its outreach and service to special groups the organizations serve in
          the area.

The recipient must ensure that it has taken appropriate steps to communicate with individuals with
disabilities and that such communication is as effective as communications with others. In

24
     See ―Categories and Definitions,‖ in the Federal Register, vol. 62, no. 210, Thursday, October 30, 1997
     (p. 58789).


Office for Civil Rights                              IV-1                                    September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                         Element 4: Universal Access

addition, when a significant proportion of persons to be served are individuals with limited English
proficiency, the recipient must provide the same information in languages other than English. The
OCR has used local and out-of-state vendors for translation of required materials into languages
other than English.         Approved vendors for translation services are listed on the
MyFloridaMarketPlace web site at:

      http://myflorida.com/owa_spurs/owa/spurs_www.commodities.display_vendors?commodit
      y_class_str=991&commodity_group_str=500&start_str=1.

If the recipient publishes, distributes or makes available to staff, customers, or to the public at large,
recruitment materials, informational publications, or other materials to describe the programs under
the WIA and SESA25 programs, or the requirements for participation by recipients and participants,
the recipient shall ensure that the required language ("tag lines") are included and indicate that the
WIA- or SESA-funded program or activity in question is an "equal opportunity
employer/program" and that "auxiliary aids and services are available upon request to
individuals with disabilities." This requirement applies to information provided in either written or
oral form, electronically or on paper. This was discussed during the 2001, 2004, and 2006 training
for equal opportunity officers.

As part of the program monitoring, brochures and other materials are reviewed for the tag lines
and, where a telephone number is included in these materials, that a TTY/TDD or relay-service
number is provided. These requirements may be met either by including appropriate inserts in
existing materials and publications or by revising and reprinting such materials. As discussed in
Element 2, the OCR has prepared templates containing the required tag lines for printing as
adhesive labels, in four languages, for use in publications currently in stock that do not contain the
notice. The templates are available at: http://www.floridajobs.org/civilrights/ocr_labels.html.

Florida has, through legislation; designated responsibility for providing a coordinated and
consolidated system of employment and training programs under the WIA through locally
managed one-stop centers. These one-stop centers provide access for every eligible Florida
resident.

The OCR, during desk and site reviews, evaluates the success of recipient efforts to broaden the
composition of the applicant, registrant/claimant, and participant pools. During the 2007-2008
program-review cycle, the OCR will provide the results of the data analyses for the prior fiscal
year to the respective workforce boards for their review, discussion, and additional information
gathering during scheduled program-review or technical-assistance visits. This same information
will be provided directly to all workforce boards for review and analysis, and for comment
directly to the OCR when onsite review and discussion is not scheduled during the current review

25
     SESA is the acronym for ―state employment security agency.‖


Office for Civil Rights                                IV-2                                September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                          Element 4: Universal Access

cycle. The OCR will identify any groups or populations that are being underserved, and will
work with the recipient to develop plans to address significant findings with regard to universal
access.
Agency guidance paper 042, Guidelines for Compliance with the Americans with Disabilities Act
of 1990, Section 504 of the Rehabilitation Act of 1973, and Section 188 of the Workforce
Investment Act of 1998, enumerates specific requirements relating to equal access and equal
opportunity. The guidelines include information on requirements for communicating in alternative
formats and address confidentiality of medical information. The guidance paper is available on line
at: http://www.floridajobs.org/pdg/administration/042ADACompGuid042604.rtf. In addition, the
OCR has included on its web site a list of potential resources for information on accommodation or
modification to programs and activities to meet the special requirements of individuals with
disabilities.               This         information          can        be         found        at:
http://www.floridajobs.org/civilrights/ocr_disabilities.html.

As required by 29 CFR 37.54(d), the OCR has information that is available to program applicants
and participants, employees, and applicants for employment about their rights with regard to
nondiscrimination and equal opportunity. The information is available in writing, upon request,
and on the OCR web site, at: http://www.floridajobs.org/PDG/posters.html.26 The Agency‘s
web site is ADA compliant and is designed to meet the requirements and standards promulgated
for individuals with disabilities. The OCR maintains a list of the preferences of Agency
employees who have requested special formats for written communication, including the format
that is requested, so that written communication can be provided in large print, on disc or on
tape.

For Agency training needs, the Department of Education‘s Division of Blind Services Braille
Library will provide audio tapes to its clients, within reason, if requested regardless of where the
client is employed or is attending training. Contractual arrangements with the Division or other
groups providing services to the blind (such as the Centers for Independent Living, or Lighthouse
for the Blind) have been identified as potential resources to provide special materials as needed,
within a reasonable period of time, under state purchasing procedures.

420 Limited English Proficiency and Alternative Formatting for Individuals with
    Disabilities

The Agency continues to develop and implement programs to ensure access to information and
services for individuals who have limited English proficiency or who, because of disability,
require a form of communication other than spoken English. The Agency‘s revised guidance,
Language Assistance to Limited English Proficient (LEP) Persons, was issued in July 2006, and
26
     See the poster and notice Equal Opportunity is the Law. This notice is also provided as part of registration for
     services in the Employ Florida Marketplace system and when applying for positions in the Agency for Workforce
     Innovation. This is discussed in Element 2, Sections 211 and 212.


Office for Civil Rights                                  IV-3                                        September 2007
                                         State of Florida
                                 Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                      Element 4: Universal Access

is                               on                              line                           at:
http://www.floridajobs.org/pdg/guidancepapers/055LangAsstToLepPersons072506.pdf. A copy
is also included as Exhibit 4-A.
Unemployment Compensation claims agents and adjudicators provide services in English,
Spanish and Haitian Creole The Agency also has a contract to provide immediate telephone
translation relay services, in virtually any language, for our customers. The language-translation
service handles an average of 400 non-English-speaking claims-related calls each month.

Unemployment claims information is available in English and Spanish at the following web site:
www2.myflorida.com/apps/uc/fluid/; appeals information, in English and Spanish, is available
at: http://www.floridajobs.org/appeals. All determinations mailed to claimants include a notice
about getting free claims-document translation assistance. This notice is in 22 languages in
addition to English; a copy is included as Exhibit 4-B. Telephone and Internet claims taking now
accounts for approximately 87% of all claims taken.

The notice Equal Opportunity is the Law is available in English, Spanish, French, and Haitian
Creole, in written and audio format, at: http://www.floridajobs.org/PDG/posters.html. The
notice is also available in Braille at each one-stop center. Discrimination-complaint and
mediation procedures are available in English, in written and audio format, and in Spanish, in
written format, at: http://www.floridajobs.org/civilrights/ocr_complaint.html. The complaint
and mediation procedures are also available in Braille from the OCR. The procedures are
discussed in greater detail in Element 8.

The poster, Interpretive Services, has been distributed statewide. There are sufficient copies for
all one-stop centers as well as for distribution to WIA-program service providers. The poster
states:

         Attention. If you do not speak English, or if you are deaf, hard of hearing, or
         sight impaired, YOU can have interpretive and translation services provided at no
         charge. Please ask for assistance.

in 21 languages besides English. As of June 30, 2004, 469 copies of the poster had been
provided to the workforce boards. The poster is also available on the Internet, at:
http://www.floridajobs.org/PDG/PostersforEmployers/IS%20Poster%2011x17.pdf.

On the OCR web site are cards for use in identifying any of 35 languages besides English that
customers may read or speak. The cards state:

                          Mark this box if you read or speak (name of language).




Office for Civil Rights                            IV-4                              September 2007
                                          State of Florida
                                  Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                                        Element 4: Universal Access

The two-sheet set is available on line at:

       http://www.floridajobs.org/civilrights/docs/Language%20Identification%20Cards%20-
                                  %20September%202005.doc.27

Sample data on languages spoken at home, based on the 2000 census, are shown in Table 4.1
(next page). These data, included here for the state as a whole, also were compiled for each of
Florida‘s 67 counties and provided to the regional workforce boards by the OCR in 2003 for use
in determining the language-interpretation and document-translation needs in their respective
service areas. However, the workforce boards now have a better language-data resource at their
disposal in materials that are also based on the 2000 census, provided by the U.S. Department of
Labor and available at: www.doleta.gov/reports/CensusData/LWIA_by_State.cfm?state=FL.

Included as Exhibit 4-C is additional information about unemployment-compensation program
services that address the needs of customers with disabilities and non-English-speaking
customers.

Additional information about services for individuals with limited English proficiency is
available       on       line,       through         the       OCR          web      site,      at:
http://www.floridajobs.org/civilrights/ocr_lim_eng_prof.html. Additional information about
services for individuals with disabilities is also available on line, through the OCR web site, at:
http://www.floridajobs.org/civilrights/ocr_disabilities.html.




27
     The content is identical to the content in the cards produced by the U.S. Census Bureau; only the format is
     different.


Office for Civil Rights                               IV-5                                      September 2007
                                                      Table 4.1
                                              Language Spoken at Home
                                      (Universe: Population age 5 years and over)

                          Florida


                                                                         count      percentage


                          Total population, ages 5 and over            15,043,603    100.00


                            Speak only English                         11,569,739     76.91
                            Spanish or Spanish Creole                  2,476,528      16.46
                            French Creole                               208,487        1.39
                            French (including Patois, Cajun)            129,118        0.86
                            German                                      89,656         0.60
                            Italian                                     67,257         0.45
                            Portuguese or Portuguese Creole             55,014         0.37
                            Tagalog                                     38,442         0.26
                            Chinese                                     35,071         0.23
                            Arabic                                      32,418         0.22
                            Vietnamese                                  30,962         0.21
                            Polish                                      24,850         0.17
                            Greek                                       23,041         0.15
                            Russian                                     19,729         0.13
                            Other Indo-European languages               18,473         0.12
                            Yiddish                                     18,225         0.12
                            Korean                                      16,702         0.11
                            Hebrew                                      15,360         0.10
                            Other Slavic languages                      14,150         0.09
                            Other Asian Languages                       13,666         0.09
                            Other Indic languages                       13,253         0.09
                            Other West Germanic languages               12,730         0.08
                            Hungarian                                   12,218         0.08
                            Serbo-Croatian                              11,654         0.08
                            Japanese                                    11,196         0.07
                            Gujarathi                                   10,847         0.07
                            Urdu                                        10,480         0.07
                            Scandinavian languages                      10,467         0.07
                            Hindi                                        8,615         0.06
                            Other and unspecified languages              7,410         0.05
                            African languages                            7,263         0.05
                            Thai                                         6,916         0.05
                            Persian                                      6,804         0.05
                            Other Pacific Island languages               4,486         0.03
                            Laotian                                      4,088         0.03
                            Mon-Khmer, Cambodian                         2,935         0.02
                            Other Native North American languages        2,866         0.02
                            Armenian                                     2,364         0.02
                            Navajo                                        71           0.00
                            Miao, Hmong                                   52           0.00


                          Data source: U.S. Census 2000




Office for Civil Rights                                   IV-6                                   September 2007
                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities


Element 5: Compliance with Laws Concerning Individuals with Disabilities
[29 CFR 37.7(d), 37.8-37.9, and 37.54(d)(2)(v); 29 CFR 32.13-32.15 and 32.27-32.28]

The Agency‘s equal opportunity (EO) officer serves as the Agency's disabilities-services
coordinator and is available to advise Agency staff and recipients with regard to the disability-
related requirements of applicable federal and state laws and regulations. All recipients and
service providers are required to provide written assurance in their agreements, grants, and
contracts that they are committed to and will comply with the requirements of the Workforce
Investment Act (WIA), the Americans with Disabilities Act of 1990 (ADA), the Rehabilitation
Act of 1973, and with 29 CFR part 32 and part 37.

Among the types of discrimination prohibited by these regulations, either directly or through
contractual, licensing or other arrangement, on the ground of disability are:

    (1) denying a qualified individual with a disability the opportunity to participate in or benefit
        from aid, benefit, services or training;
    (2) affording a qualified individual with a disability an opportunity to participate in or benefit
        from the aid, benefits, services, or training that is not equal to that afforded others;
    (3) providing a qualified individual with a disability with an aid, benefit, service or training
        that is not as effective in affording equal opportunity to obtain the same result, to gain the
        same benefit, or to reach the same level of achievement as that provided to others;
    (4) providing different, segregated or separate aid, benefits, services, or training to
        individuals with disabilities unless such action is necessary to provide qualified
        individuals with disabilities with aid, benefits, services or training that are as effective as
        those provided to others;
    (5) denying a qualified individual with a disability the opportunity to participate as a member
        of planning or advisory boards; or,
    (6) otherwise limiting a qualified individual with a disability in enjoyment of any right,
        privilege, advantage or opportunity enjoyed by others receiving any aid, benefit, service
        or training.

510 Communication

The Office for Civil Rights (OCR) is responsible for assuring that information regarding the
requirements for compliance with the above-mentioned laws and regulations is adequately
communicated to all recipients. The OCR is likewise responsible for assuring that all recipients
provide a system of communication with persons with disabilities that is as effective as
communication with others.




Office for Civil Rights                          V-1                                    September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities

Written Policies and Procedures: The primary method for promulgating policy and procedures
relating to the WIA and other workforce programs is the workforce consultation/guidance paper
process. As discussed in the Agency‗s Interoffice Procedures (November 7, 2000):

         Consultation papers will be developed for policy issues relating to the Workforce
         Investment Act … and other workforce programs. Consultation papers will be
         written in coordination with Workforce Florida staff and will be distributed to the
         RWBs and other interested parties for review and comment. Upon conclusion of
         the review period and following any resulting revisions to the papers and final
         approval, a consultation paper becomes a guidance paper.

The Agency uses communiqués to transmit general and procedural information.

Agency Policy and Guidance: Agency policy 2.06 Policy on Program Accessibility and
Services to Individuals with Disabilities, is applicable to Agency staff and provides a model for
workforce-board adaptation and use with the one-stop operators and service providers. The
policy is available on line at: http://www.floridajobs.org/civilrights/ocr_policies.html and is
included as Exhibit 5-A.

Agency guidance paper 042, Guidelines for Compliance with the Americans with Disabilities Act
of 1990, Section 504 of the Rehabilitation Act of 1973, and Section 188 of the Workforce
Investment Act of 1998, addresses the requirements under the subject laws regarding both
employment and service delivery as they apply to workforce programs in Florida. The
Guidelines were discussed as part of disabilities-services training for the workforce-board EO
officers and designated staff from the one-stop centers in 2004. A copy of the revised Guidelines
is included as Exhibit 5-B.

Auxiliary Aids and Services: In order to provide equitable services and access, a recipient is
required to make available appropriate auxiliary aids and services where necessary to ensure
effective communication.

             Auxiliary aids and services for persons who are deaf or hard of hearing include:
              qualified interpreters, note takers, computer-aided transcription services, written
              materials, telecommunications devices for deaf persons (TDD/TTY), and open and
              closed captioning.
             Auxiliary aids and services for individuals with vision impairments include: qualified
              readers, taped texts, audio recordings, materials in Braille or large print, and staff
              assistance.

TTY/TDD:      Where a recipient communicates by telephone, the recipient must use
telecommunications devices for individuals with hearing impairments (TTYs/TDDs), or equally


Office for Civil Rights                          V-2                                  September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
               Element 5: Compliance with Laws Concerning Individuals with Disabilities

effective communications systems such as telephone relay services. Where a TTY is not
provided by the recipient, the recipient must ensure that its written communication identifies the
Florida Relay Service (FRS) and provides the access numbers (711) whenever a commercial
phone number is included.

Notification of Meetings, Hearings, or Training: Agency guidance includes the requirement
that notification be made in all announcements of meetings, hearings, or training sessions that
persons requiring reasonable accommodation to participate may request accommodation by the
recipient or service provider. On-line course or class registration systems allow individuals with
disabilities to request an accommodation.

Alternate Formats: The OCR can assist in identifying resources that may be contacted by
recipients for developing materials (including agendas, training materials, brochures, and
informational publications) in alternate formats such as Braille, large-print, and audio. When
possible, local resources should be identified by recipients and their service providers to ensure
maximum responsiveness to requests for such alternately formatted materials.

520 Programmatic Accessibility

The WIA regulations stipulate that state programs must be accessible to all persons after the first
two months of operation regardless of the status of any self-evaluation program. Program
accessibility must be accomplished within 60 days of the date the regulations first apply to a
recipient. Program reviews conducted on a scheduled basis aid in verifying that program/site
accessibility is in compliance. The WIA Section 188 Disability Checklist, developed under the
auspices of the Civil Rights Center, U.S. Department of Labor, is available on line through the
OCR web site, at: http://www.floridajobs.org/civilrights/ocr_disabilities.html.28 Recipients are
required to complete and maintain on file the self-evaluation of all program activities; new
recipients are required to complete the self-evaluation within 60 days after becoming grantees
under the WIA, and preferably as expeditiously as possible.

During on-site reviews, the OCR assesses program accessibility for individuals with disabilities
by observation and through questionnaires designed to assess the intake, assessment, counseling,
recruitment, placement, and selection processes. Copies of these questionnaires are included as
part of Element 7.




28
     The checklist is also included in this MOA, as Exhibit 5-C.


Office for Civil Rights                                    V-3                       September 2007
                                         State of Florida
                                 Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities

530 Architectural Accessibility

The OCR makes periodic reviews of the physical structures used by recipients, using a facilities-
accessibility survey, and recommends and monitors a corrective-action plan where recipients‘
facilities are found to be out of compliance. The OCR reviews locally completed facility-
accessibility surveys during the regularly scheduled program reviews.

All new construction and alterations to existing facilities of recipients must be carried out so that,
to the maximum extent feasible, the facility is readily accessible to and usable by qualified
individuals with disabilities. For older buildings where no alterations are undertaken, recipients
are required to remove architectural barriers to physical accessibility for persons with disabilities
unless the removal is not readily achievable. The standards to be applied are the Americans with
Disabilities Act Accessibility Guidelines (28 CFR part 36, Appendix A) along with applicable
portions of Florida law and state and local codes.

Recipients must ensure that all interested individuals, including those with visual or hearing
impairments, can obtain information as to the existence and location of accessible services,
activities and facilities.

Where any of a recipient's facilities are inaccessible, a recipient must provide signs at the primary
entrance of each such facility directing users to a location where they can obtain information
about accessible facilities. The OCR, during scheduled program reviews, checks selected
facilities for accessibility, compares the findings with locally conducted surveys, and provides
training and technical assistance on accessibility compliance, if needed.

540 Reasonable Accommodation

During training for EO officers, most recently in 2006, the OCR reiterated the necessity for
providing reasonable accommodation to otherwise qualified individuals with a disability.
Reasonable accommodation may be required in regard to aid, benefits, services, training, and/or
employment offered by a recipient. Reasonable accommodation may include, but is not limited
to, the following: making existing facilities used by employees or participants readily accessible
to and usable by individuals with disabilities, job restructuring, part-time or modified schedules,
acquisition or modification of equipment or devices, and the provision of qualified readers or
interpreters. The State Comptroller's Office has issued requirements covering approval of
expenditure of general funds by State agencies in providing reasonable accommodation.29




29
     See Comptroller’s Memorandum 08 (1992-93), dated November 19, 1992, at:
     www.fldfs.com/aadir/cm929308.html.


Office for Civil Rights                              V-4                               September 2007
                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities

Reasonable accommodation is required for applicants, registrants, eligible applicants/registrants,
participants, employees or applicants for employment unless providing the reasonable
accommodation would cause undue hardship, as defined in 29 CFR 37.4. This includes
situations where the accommodation would cause an undue hardship on the mission of the
program. Where any recipient refuses to provide a reasonable accommodation to an individual
because of an undue hardship, the burden is on the recipient to prove the accommodation would
result in such hardship. Before making a decision to deny an individual an accommodation
based on undue hardship, the recipient must consider all factors listed in the definition of "undue
hardship" in 29 CFR 37.4. The recipient must document in writing the reasons for any such
denial and furnish a copy of the statement of reasons to both the individual who requested the
accommodation and to the OCR. Even in such cases, the recipient must, to the maximum extent
possible, ensure that individuals with disabilities receive the aid, benefits, services, training or
employment provided by the recipient.

545 Reasonable Modification

As part of the 2001 and 2006 training for EO officers, the OCR instructed each recipient on the
necessity for providing reasonable modification in policies, practices, or procedures. This was
also discussed during the training for EO officers and one-stop center disability specialists in
2004. Such modifications are required when necessary to avoid discrimination on the basis of
disability, unless the modification would fundamentally alter the program, activity or service as
defined in 29 CFR 37.4.

550 Employment-Related Provisions

Evaluation of Job Qualifications: All recipients must ensure that job qualifications used to select
employees do not wrongfully exclude individuals because of disabilities, as required by 29 CFR
32.12 and 32.14. Review of selected position descriptions is included as part of the OCR
nondiscrimination-program reviews.

Limiting Employment Medical Inquiries: Pre-employment medical examinations or inquiries
as to whether an applicant has a disability, or questions regarding the nature and severity of any
disability, are generally prohibited. The U.S. Equal Employment Opportunity Commission
(EEOC) has issued an ADA Enforcement Guidance Paper titled Pre-employment Disability-
Related Questions and Medical Examinations. The EEOC guidance states there are only two
exceptions where a recipient is permitted to conduct a pre-employment medical examination or
inquire about an applicant's disability:

    (1) A recipient may invite applicants to reveal details about any disabilities where the inquiry
        is part of a voluntary affirmative-action plan to increase the number of employees with
        disabilities or as part of remedial action to correct the effects of past discrimination, or


Office for Civil Rights                         V-5                                   September 2007
                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities

    (2) Where a recipient requires every applicant (whether having a disability or not) for
        employment or employment-related training to undergo a pre-employment medical
        examination as part of its standard selection procedure. Any medical examination made
        under this exception must be made only as a separate, second step of the selection process
        and is allowed only after a conditional offer of employment/participation has been made
        to the applicant.

Each examination made under exception (2) must be conducted by a physician qualified to make
a functional assessment of the individual's residual capacity to perform the work/training. The
results of the medical examination must be specific and objective so that it can be reviewed by
independent medical evaluators, and shall be transmitted to the applicant or employee at the same
time as the employing official. The medical examination cannot be used to screen out qualified
applicants with disabilities, but may only be used to determine proper placement and reasonable
accommodation.

The prohibition on medical inquiries or questions regarding a disability does not mean a recipient
is not allowed to evaluate an applicant's ability to perform the job or participate in employment
training. A recipient is always permitted to conduct performance testing which determines an
applicant's physical and mental ability to perform job-related functions, so long as the inquiry is
limited to measuring this ability and does not delve into medical examinations or questions
regarding disabilities. However, performance testing or other measurements of job performance
are only permitted where every applicant (whether having a disability or not) is given the same
test.

Post-offer examinations and inquiries also are permitted to determine if an applicant can perform
certain jobs effectively and safely. A post-offer medical examination or inquiry, made before an
individual starts work, need not focus on ability to perform job functions. Such inquiries and
examinations themselves, unlike examinations/inquiries of employees, do not have to be "job
related" and consistent with business necessity. A post-offer medical examination does not have
to be given to all entering employees in all jobs, only to those in the same job category.

560 Confidentiality of Information

Any information collected by a recipient through medical examination or through inquiries
regarding disability, or other information regarding the medical condition or history of an
applicant, must be kept confidential, and all recipients must take steps to guarantee the security
of such information. Employee medical information must be kept on a separate form from other
employment or training records, and must be kept in a medical file in a separate locked cabinet
apart from the location of other personnel or training files.




Office for Civil Rights                        V-6                                   September 2007
                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities

Access to confidential information is to be as follows:

    (1) Employing officials may obtain the information after making a conditional decision to
        make a job offer to an applicant or after the applicant was placed in a job pool or placed
        conditionally on an eligibility list.
    (2) Supervisors and managers may be informed regarding work restrictions of qualified
        persons with disabilities, or regarding necessary reasonable accommodations.
    (3) First aid and safety personnel may be informed, where appropriate, if the condition might
        require emergency treatment.
    (4) Government officials may have access when investigating compliance with various
        disability-related laws.

The OCR will make periodic reviews of recipients‘ practices regarding confidentiality and will
recommend and monitor a corrective-action plan where recipients are not in compliance.

These requirements are also discussed in the following Agency documents:

        Policy on Program Accessibility and Services to Individuals with Disabilities, included as
         Exhibit 5-A;
        Guidance paper 042, Guidelines for Compliance with the Americans with Disabilities Act
         of 1990, Section 504 of the Rehabilitation Act of 1973, and Section 188 of the Workforce
         Investment Act of 1998, included as Exhibit 5-B; and,
        Confidentiality of Records and Public Records Requests and Subpoenas, included as
         Exhibit 5-D.

570 State-Level Public- and Private-Sector Coordination

Disability Program Navigator Initiative: In 2003, under a two-year federal grant jointly
funded by the U.S. Department of Labor and the Social Security Administration, seven of the
state‘s 24 Regional Workforce Boards were funded to hire a full-time staff member to enhance
employment and training services for persons with disabilities through expanded partnerships with the
U.S. Department of Labor, the Social Security Administration, and local One-Stop Career Centers. The
Disability Navigators also provide training and technical assistance within the assigned regions
on disability-related matters. The grant was renewed and the program was expanded so that, in
the 2006-2007 fiscal year, there were 15 Navigators, in 14 of the 24 regions. A staff member in
the Agency‘s Office of One-Stop and Program Support serves as the program coordinator. The
Agency‘s EO officer and the program coordinator routinely share information with each other,
and the EO officer attends the coordinator‘s semi-annual meetings with the Navigators. The
agenda for the June 2007 meeting is included as Exhibit 5-E. The grant has been renewed for the
2007-2008 fiscal year.



Office for Civil Rights                         V-7                                   September 2007
                                        State of Florida
                                Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
             Element 5: Compliance with Laws Concerning Individuals with Disabilities

Governor’s Commission on Disabilities: The Deputy Director for Agency Support,
Information Technology and Unemployment Compensation serves as one of 19 members
appointed for an initial, one-year term to the Governor‘s Commission on Disabilities. The
Commission was created by Governor Crist, through executive order on July 26, 2007, to
advance public policy for Floridians with disabilities and to provide a forum for advocates
representing Floridians with disabilities to develop and voice unified concerns and
recommendations.

The Commission‘s responsibilities include:

             identifying and recommending methods to remove barriers to the delivery of, and
              access to, services for people with disabilities;
             identifying and recommending methods to maximize the freedom and independence
              of Floridians with disabilities, with a focus on employment, transportation, education,
              and independent living;
             providing a forum for communication between individuals with disabilities
              throughout the State of Florida and the various arms of state government, particularly
              the Governor and the Legislature; and,
             partnering with other agencies and organizations serving the disabilities community to
              facilitate collaborative efforts consistent with the purposes of the Commission.

On July 1, 2008, the Commission is to provide a written report to the Governor outlining the
accomplishments during the previous 12 months and addressing issues including, but not limited
to:

             recommendations regarding changes to Florida statutes, administrative rules, policies,
              and/or procedures of the State in reference to all duties outlined above;
             accomplishments in obtaining legislative or administrative change; and progress
              related to collaborative efforts with other agencies and organizations.

575 Training

As discussed in Element 2, in 2006 Florida‘s Department of Management Services (DMS),
working with state-agency equal opportunity officers and training staff, developed on-line
training modules for agency use as part of employee staff-development and training. The module
on the ADA, The Americans with Disabilities Act, is designed to provide state employees with a
common knowledge and information base; the individual agencies may then build upon this base
with agency-specific information.

The EO officer included discussion of the ADA as part of training for supervisors, in May 2007,
and includes an overview as part of New Employee Orientation. New Employee Orientation is


Office for Civil Rights                           V-8                                  September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
              Element 5: Compliance with Laws Concerning Individuals with Disabilities

held at the beginning of the calendar quarter. All employees who have joined the Agency during
the three prior months are scheduled for the quarterly orientation by Human Resource
Management..

The Agency‘s EO officer provided disabilities-services training for the workforce board EO
officers and the one-stop disability specialists in April-June 2004; make-up sessions were held in
November-December 2004. This training will be presented again in 2007-2008.

580 Resources on Line

The OCR has information available regarding services for individuals with disabilities at the
following web site: http://www.floridajobs.org/civilrights/ocr_disabilities.html. Included are
links to public- and private-sector resources at the federal, state, and local levels.

590 Documentation by the Regional Workforce Boards

The regional workforce boards are responsible for ensuring that the following checklists are
completed, as appropriate, and kept on file for each one-stop center and service provider site, and
for the administrative offices:

              Facility-Accessibility Checklist
              Information-Technology (IT) Equipment-Accessibility Checklist
              Software-Accessibility Checklist
              Web-Page Accessibility Checklist
              WIA Disability Checklist

A timetable for correction of identified deficiencies must also be prepared and updated as
appropriate. If a deficiency cannot be corrected, documentation that includes the reason or
reasons should be prepared and kept on file. Alternative measures are to be identified to ensure
that deficiencies in access do not become barriers to service or employment.30 These documents
are requested and reviewed during nondiscrimination-program monitoring and technical-
assistance visits, and the status of any findings is confirmed during the site visits.




30
     For example: If the men‘s rest room is wheelchair accessible but the women‘s rest room is not, posting someone
     at the restroom door while a woman in a wheelchair is using the men‘s restroom will ensure privacy for her.


Office for Civil Rights                                 V-9                                        September 2007
This page intentionally left blank.
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                     Element 6: Data and Information Collection and Maintenance


Element 6: Data and Information Collection and Maintenance
[29 CFR 37.37 37.41]

The Office for Civil Rights (OCR) has direct access to the data warehouse for the Workforce
Investment Act (WIA) Title I and Wagner-Peyser Programs. This enables the Agency‘s equal-
opportunity (EO) officer to get, sort, and compare data, and prepare reports in spreadsheet format
for analysis by the regional workforce boards and as well as within the Agency. Data for the
Unemployment Insurance Program are projected to be available for direct access by the EO
officer in the 2007-2008 fiscal year. The OCR is expanding its analyses of WIA Title I and
Wagner-Peyser data; the analyses will be discussed during the 2007 training for workforce-board
EO officers, and the reports for each workforce region will be shared with the respective
workforce boards on a recurring basis.

For each entity or program under review, the OCR looks at data for a program year. Program
participants who began receiving services prior to the current program year can be separated from
participants who are also current-year applicants when appropriate for data analysis. Printed,
summary data reports are not used.

Analyses are prepared by administrative entity, that is, by local workforce-investment area, or
workforce region. These data may be disaggregated if appropriate (for example: for analysis of
service in an area that includes multiple service centers serving diverse populations). If statistical
studies of these data, using standard-deviation tests, reveal significant disparities between or
among groups, the individuals who comprise the applicable data subset may be readily identified
and their records further reviewed as appropriate.

610 Demographic Information

Demographic information is collected for:

             applicants and registrants for programs and services, including data on eligibility
              determinations for applicants and registrants;
             program participants and service recipients; and,
             program terminees.

Data on disability status, where known, are included. Data are collected using the 1998 federal
Office of Management and Budget guidelines for reporting ethnicity and race.




Office for Civil Rights                         VI-1                                   September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
    The Methods of Administration Under the Workforce Investment Act of 1998 (WIA)
                      Element 6: Data and Information Collection and Maintenance

620 Data Confidentiality

Demographic information, that is, information about race/ethnicity, sex, age, and, where known,
disability status, is stored in a manner that ensures confidentiality, and is used only for the
purposes of record keeping and reporting; determining eligibility, where appropriate, for WIA
Title I-financially assisted programs or activities; determining the extent to which the recipient is
operating its WIA Title I-financially assisted program or activity in a nondiscriminatory manner;
or other use authorized by law. This requirement is also applicable to employment-service and
unemployment-insurance program applicants/claimants and participants/beneficiaries; it is also
applicable to applicants for employment with and employees of the recipient. Guidance on
confidentiality of information is included in Agency Policy 1.02: Confidentiality of Records and
Public      Records      Requests     and     Subpoenas.           It    can    be     found      at:
http://www.floridajobs.org/policies/Director/Policy%201.02.pdf; a copy is included as
Exhibit 5-D. Confidentiality is also addressed in Agency guidance paper 042, Guidelines for
Compliance with the Americans with Disabilities Act of 1990, Section 504 of the Rehabilitation
Act of 1973, and Section 188 of the Workforce Investment Act of 1998; a copy is included as
Exhibit 5-B.

630 Data Analysis

The Office for Civil Rights uses an initial two-tier approach to customer data analysis:

             Tier One

                         by sex;
                         by ethnic designation;
                         by racial designation; and
                         by age group.

             Tier Two (cross tabulation)

                         sex by ethnic and racial designation;
                         sex by age group; and
                         age group by racial and ethnic designation.

Tier two analyses are performed as necessary, based upon the results of the tier one analyses, and
are designed to allow compliance staff and management to more closely identify the groups
about which there is potential concern. Additional analyses, using such factors as the industry in
which employed, the customer‘s education level and whether or not the customer speaks English




Office for Civil Rights                                VI-2                           September 2007
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration Under the Workforce Investment Act of 1998 (WIA)
                      Element 6: Data and Information Collection and Maintenance

are also possible, based upon the data that are collected. An elaboration on the two-tier approach
to data analysis is included as Exhibit 6-A.

A list of the routine analyses is included as Exhibit 6-B. Data are available for additional
analysis of services to: Native Americans, migrant and seasonal farm workers, individuals with
disabilities (if known), military veterans, and applicants for and participants in target programs,
such as nontraditional job training programs, programs for ex-offenders, or programs for which
there are special requirements, such as in-school status or age-range limits imposed under Title I
of the WIA. Data on employment-related services for Welfare Transition and Job Corps program
participants can be separated from similar services to other customers, if such analyses are
deemed appropriate.

The data breakout by age separates customers and program participants aged 18 from those who
are younger or older. This is done because some programs for youth serve participants from ages
14 to 18, while some adult programs also offer services to 18-year-old applicants. In this
manner, 18-year-old applicants and participants can be included in the appropriate program
analysis: youth or adult.

640 Retention of Information

Service- and employment-related files are kept for a minimum of three years from the close of
the applicable program year or, if part of an investigation of a complaint of alleged
discrimination, a minimum of three years from the completion of that investigation. This record-
retention requirement extends to information provided by applicants for service and information
about eligible applicants/registrants who, for one reason or another, do not proceed with program
enrollment.31 Files are kept longer if requested by the Director of the Civil Rights Center, U.S.
Department of Labor (USDOL). Information contained in the files is made available only to
authorized individuals, in accordance with applicable federal and State regulation.

Employment-related data, for applicants and terminations as well as for employment actions such
as promotions and transfers, are also maintained for a minimum of three years. Applicants for
employment are asked to voluntarily indicate their sex, ethnic, and racial categories, age and, if
applicable, disability. Applicants and employees are made aware, by pamphlet, poster,
orientation sessions, and in calls and letters to schedule appointments, that reasonable
accommodation for a disability is available upon request. Demographic information for

31
     Applicant means an individual who is interested in being considered for WIA Title I—financially assisted aid,
     benefits, services, or training by a recipient, and who has signified that interest by submitting personal
     information in response to a request by the recipient. Eligible applicant/registrant means an individual who has
     been determined eligible to participate in one or more WIA Title I—financially assisted programs or activities.
     See 29 CFR 37.4; also 37.37(b) and 37.39(a)(1).



Office for Civil Rights                                  VI-3                                        September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration Under the Workforce Investment Act of 1998 (WIA)
                     Element 6: Data and Information Collection and Maintenance

applicants for employment and employees is maintained separately from other applicant or
employee information, but can be cross-referenced as necessary.

650 Sample Reports and Forms

Sample reports used in the analysis of service-delivery program data are provided in Exhibit 6-C.
Methodology allows for and takes into account potential self-identification in more than one
racial group.

A secure, password-protected on-line system for complaint recording and reporting is now in use.
Each regional workforce board has access only to its own complaint information; the OCR can
review, but not edit, regional information and can enter data for complaints filed with the OCR.
Each region can print a report for internal use; the OCR can print a consolidated report.
Information about this system is included as Exhibits 8-D and 8-E.

660 Census Data

Data from the 2000 U.S. Census are available on line, for Florida and for each of Florida‘s 67
counties, at: www.labormarketinfo.com/library/census/sf3-profiles/index.htm. The data and
their use were discussed with the regional workforce board EO officers as part of the 2001 and
2004 training. Employment data on persons with disabilities, shown in census tables PCT 27-
PCT 31, were discussed as part of the OCR‘s disabilities-services training.

As discussed in Elements 2, section 215, and 4, section 420, the workforce boards now have a
better language-data resource at their disposal in materials that are also based on the 2000 census,
provided           by          the           USDOL               and           available         at:
www.doleta.gov/reports/CensusData/LWIA_by_State.cfm?state=FL.               This data resource is
discussed in the guidance paper on limited-English proficiency, included as Exhibit-4-A.

670 Medical Information

Confidentiality of medical information is addressed in Element 5, section 560, and in the policy
on program accessibility and services to individuals with disabilities, included as Exhibit 5-A,
and in the guidelines included as Exhibit 5-B. A copy of the Agency‘s form, Medical
Certification, is included as Exhibit 6-D.




Office for Civil Rights                         VI-4                                  September 2007
                                              State of Florida
                                      Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                               Element 7: Monitoring Recipients for Compliance


Element 7: Monitoring Recipients for Compliance
[29 CFR 37.51-37.54]

The Office for Civil Rights (OCR) has the capability to perform in-depth personal-computer
analyses of data on program service delivery. In September 2007, the OCR will review data for
the program year ending June 30, 2007.

Nondiscrimination-program reviews of the 24 regional workforce boards are performed on a two-
year cycle. Factors that may require a change in the review schedule include:

               results of the service-delivery data analyses;
               findings from past state-level reviews;
               findings from federal-level reviews; and,
               requests from the workforce boards for technical assistance.

Factors outside the Agency‘s control, such as natural disasters, may also affect the schedule.

The scope of the nondiscrimination program monitoring is shown in the sample notification
letter, document request, and tentative agenda that are included as Exhibit 7-A.

Site visits continue to be an integral component of the compliance-review process. This process
is designed to ensure the State‘s compliance with the oversight responsibilities prescribed for the
Governor in 29 CFR 37.51. The OCR is planning 11 weeklong nondiscrimination-program
monitoring trips to the workforce regions during the 2007-2008 program year.32 These trips are
scheduled to coincide with the quality-assurance program reviews conducted by the Office of
One-Stop and Program Support.

710 Phase One: Planning and the Desk Review

Phase one, planning and the desk review, takes into account:

               the date of the last review;
               the number and nature of any complaints; and
               input from federal compliance agencies, interested individuals, or community groups
                regarding the entity or program that is under review.

The terms of any conciliation agreement and the nature of any deficiencies found during a
previous review will also be factors affecting review scheduling.

32
     Schedule permitting, training and technical assistance will also be offered as part of these trips.


Office for Civil Rights                                     VII-1                                          September 2007
                                             State of Florida
                                     Agency for Workforce Innovation
       The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                              Element 7: Monitoring Recipients for Compliance

The desk review may include:

               review of the local workforce board's strategic five-year plan, as provided by the
                board to the Office of One-Stop and Program Support;
               analysis of computer-based applicant and customer data;
               review of reports from previous nondiscrimination-program reviews;
               review of discrimination complaint files;
               review of the workforce board‘s web site for compliance with the nondiscrimination
                requirements of 29 CFR part 37.

720 Phase Two: The Site Review

Phase two, the site review, provides the opportunity to clarify information from the desk review
and to ensure program operation in accordance with the applicable regulations and the State's
Methods of Administration. The OCR‘s primary contact during this phase of the review is the
workforce board‘s equal opportunity (EO) officer. The site review consists of the following:

               an entrance conference, to include discussion of the results of the desk review;
               files review;
               staff interviews;
               customer surveys and interviews;
               facility-accessibility survey review and assessment;
               review of customer information materials, to include materials in alternative formats
                and languages other than English;
               review of community-contact programs;
               observation of entity activities;
               entity complaint-file review;
               discussion of program intake and assessment processes, to include provisions to serve
                individuals with disabilities or who are non-English-speaking;33 and
               review of compliance-monitoring reports prepared by or under contract to the local
                workforce investment boards;
               review of the program-, equipment-, and facility accessibility surveys prepared per
                guidance paper 042, Guidelines for Compliance with the Americans with Disabilities
                Act of 1990, Section 504 of the Rehabilitation Act of 1973, and Section 188 of the
                Workforce Investment Act of 1998;
               review of facility-accessibility surveys for the offices under the administrative entity;
                and,
               an exit conference, to include discussion of preliminary findings, if any.

33
     The questionnaires are included as Exhibits 7-B 1 and B 2.


Office for Civil Rights                                  VII-2                             September 2007
                                         State of Florida
                                 Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                           Element 7: Monitoring Recipients for Compliance



For each significant disparity noted in the data analyses performed during the desk review, the
workforce board will be asked to explore the cause of the disparity to determine if:

             the disparity is caused by a neutral practice or procedure. If so, there must be a valid
              program reason for the practice, or the practice must be discontinued.
             the disparity is caused by a difference in treatment. If so, management must articulate a
              nondiscriminatory reason for such practice.

Any explanation must be founded upon the record and not sheer speculation.

Contracts, assurances, and similar agreements are reviewed to ensure that they are both
nondiscriminatory and contain the prescribed language regarding nondiscrimination and equal
opportunity. Review of EO program-related training for all staff and role-related training for EO
officers, both planned and accomplished to date, is included.

Title I program participants are selected at random for interview by the OCR. A copy of the
participant questionnaire used in the interview is included as Exhibit 7-D.

A brief survey for completion by one-stop customers seeking employment and claims services is
made available at the front counter during an onsite review. The OCR will also talk one-on-one
with one-stop customers, time permitting. The customer survey that is used is available in
English, in Spanish, and in English in larger-print format. (See Exhibits 7-E 1, E 2, and E 3,
respectively.)

A questionnaire for use when contacting community-based organizations is available on line at:
http://www.floridajobs.org/civilrights/ocr_chklst_quest.htm and is included as Exhibit 7-F.
These contacts may be made prior to, during, or after the site visit.

The administrative facilities are checked by the OCR and the results of this check are compared
to the facilities survey conducted by the workforce board. The workforce board is responsible
for ensuring facility-accessibility review and deficiency correction by the one-stop operators and
service providers. The OCR will spot check those facilities. The survey cover page and
instructions are included as Exhibit 7-G; the entire survey is available on line at:
http://www.floridajobs.org/pdg/ada/adachecklist.htm.

The OCR is adapting the Guide to Equal Opportunity Monitoring Reviews34 for use in conducting
state-level reviews. A copy of the Guide is included as Exhibit 7-H.

34
     The Guide was developed and published, on August 24, 2005, by the Equal Opportunity Committee of the
     National Association of State Workforce Agencies.


Office for Civil Rights                            VII-3                                  September 2007
                                        State of Florida
                                Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                          Element 7: Monitoring Recipients for Compliance



The workforce boards are encouraged to adapt any or all of these materials for local use.
Time permitting, technical assistance on program-related matters may be provided during the site
visit. Technical assistance may also be scheduled for a future date.

730 Phase Three: Report Preparation and Compliance Monitoring

Phase three, report preparation and compliance monitoring, concludes the review process. The
draft report includes suggested corrective actions, and allows for alternative suggestions and
comments in response. A report template is included as Exhibit 7-I 2. A cover letter
(Exhibit 7-I 1), sent with the draft report, will include a request that a corrective-action plan (CAP)
be submitted to the Office for Civil Rights regarding identified deficiencies. The CAP should
include a timetable and any necessary documentation regarding deficiency correction. The CAP
should be submitted to the OCR within 60 calendar days of receipt of the report.

Upon acceptance of the CAP, a letter to that effect is sent to the chief executive officer (CEO) of
the workforce board. The letter will include one of two determinations:

             compliance, or
             compliance, with deficiencies.

A determination of "compliance" means that no deficiencies were identified or that corrective
action has been taken since the report of review was issued. A finding of "compliance, with
deficiencies," means that some relatively minor EO program-related problems remain.

If the CAP is unacceptable, a letter is sent to the CEO requesting additional information or
clarification. The letter states why the CAP is unacceptable and includes substantiating
information. Sample acceptance, clarification, and reminder correspondence concerning CAPs are
included as Exhibits 7-J 1, J 2, J 3, and J 4.

740 Conciliation

Where there are serious equal-opportunity violations, such as a finding of discrimination, or major
deficiencies, such as inadequate record keeping, an initial determination of noncompliance is issued
and will require a written conciliation agreement. Among other things, an initial determination:

             identifies the nondiscrimination program violation;
             cites the section of the regulations that has been violated; and,
             describes the means by which the entity can be brought into compliance.




Office for Civil Rights                          VII-4                                  September 2007
                                       State of Florida
                               Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                          Element 7: Monitoring Recipients for Compliance

The initial determination also affords the entity the opportunity to show that the basis of the finding
was erroneous.
An entity that prefers to complete all corrective actions within the 60-day time limit rather than
sign a conciliation agreement may do so provided that the deficiency does not involve
discrimination and that the unit submits a written assurance that the deficiency has been
corrected. Conciliation is discussed in greater detail in Element 9.

The workforce board is asked to complete an evaluation of the compliance review and review
staff at the conclusion of the review process. The evaluation form is included as Exhibit 7-K.
Compliance-review process charts are included as Exhibit 7-L.

The entities that administer the regional programs are responsible for conducting monitoring
reviews of recipients within their service areas. The OCR will review the monitoring reports and
will spot check the findings during field visits in the regions.

750 Review Scheduling

The civil rights program review is designed as a workforce-region, one-stop system, multi-site
review, covering employment-services, Workforce Investment Act (WIA) Title I and related
programs for which the one-stop operator has responsibility and which are within the purview of
the U.S. Department of Labor‘s Civil Rights Center, under Section 188 of the WIA. The reviews
are coordinated with the fiscal and program monitoring schedule developed by the Office of One-
Stop and Program Support.

760 Documentation by the Regional Workforce Boards

Copies of the monitoring reports for recipient programs, prepared by or for the workforce boards,
are reviewed by the OCR during the site review.




Office for Civil Rights                          VII-5                                  September 2007
This page intentionally left blank.
                                            State of Florida
                                    Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                      Element 8: Discrimination-Complaint Processing Procedures


Element 8: Discrimination-Complaint Processing Procedures
[29 CFR 37.76-37.79 and 37.54(d)(1)(vii)]

Section 188 of the Workforce Investment Act (WIA) states:

           Discrimination on the basis of race, sex, color, religion, national origin, age,
           disability, political affiliation or belief, and (for beneficiaries only) citizenship or
           participation in a WIA program is prohibited.

This element describes procedures for handling discrimination complaints pursuant to the
nondiscrimination regulations implementing Section 188.35 The procedures discussed here cover
only discrimination complaints: the Office for Civil Rights (OCR) does not handle program
complaints, grievances or any other complaint that does not allege discrimination on one of the
prohibited bases listed above.36

810 Filing and Investigating Discrimination Complaints

Anyone wishing to file a formal discrimination complaint, that is, a written, signed complaint,
under the provisions of the WIA Title I may file that complaint with either the OCR or with the
Civil Rights Center (CRC), U.S. Department of Labor (USDOL).

Investigation of employment-discrimination complaints filed with the OCR will be coordinated
with the Agency‘s Office of the Inspector General (OIG). The OCR or the OIG, as principal
investigator, in turn, will coordinate with and may request assistance in the investigation from the
workforce board in the region from which the complaint is filed.

When the OCR or the OIG conducts an investigation, it acts as a neutral, unbiased fact finder and
is not an advocate for either the complainant or the respondent. The OCR/OIG conducts an
impartial investigation to determine whether or not there is reasonable cause to believe the
respondent has violated a nondiscrimination law.

If a person wishes to file a discrimination complaint, the OCR or the recipient will provide him
or her with the appropriate complaint form and instructions. Persons wishing to file a complaint
may also do so using a photocopy of the OCR complaint form obtained directly from a recipient
or other source, including on line at: http://www.floridajobs.org/civilrights/ocr_complaint.html.

35
     The grounds on which discrimination is prohibited under Florida law and the filing of employment-related
     discrimination complaints under Florida law are not discussed here. Contact the Agency‘s Office for Civil Rights
     or go to: http://awitestinternet/civilrights/ocr_complaint.html for more information.
36
     The Agency‘s grievance procedures for workforce programs are contained in guidance posted at the following
     site: http://awitestinternet/PDG/guidancepapers/004Griev_Rev060807.pdf.


Office for Civil Rights                                 VIII-1                                       September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
      The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                      Element 8: Discrimination-Complaint Processing Procedures

The OCR form incorporates all information requirements contained in the USDOL complaint
form dated May 2000.

An OCR complaint filed under federal law must be filed in writing within 180 days of the alleged
violation unless the Director of the CRC, USDOL has extended the deadline for filing. If
jurisdiction exists, the OCR/OIG will conduct a fact-finding investigation of the complaint and
will issue a written decision, called a Notice of Final Action, regarding whether or not there
exists reasonable cause to believe a violation of a nondiscrimination law has occurred. The
Notice of Final Action will identify each issue raised in the complaint and contain a
determination on each issue and an explanation of the reasons underlying each determination.

A copy of the procedures that are used by the OCR is included as Exhibit 8-A.37

820 Alternative Dispute Resolution: Mediation

Mediation is offered as an alternate means of resolving the discrimination complaint that allows
the parties to avoid the traditional investigative or litigation process. In mediation, a neutral third
party, trained in dispute resolution, listens to both the complainant and respondent and then
encourages them to reach a voluntary, negotiated settlement of the charge of discrimination.
Mediation gives the parties a chance to discuss the issues raised in the complaint, clear up
misunderstandings, find areas of agreement, and incorporate those areas of agreement into
solutions. Mediation is voluntary on the part of the complainant.

The OCR has identified certified mediators with background in nondiscrimination programs.
Additional information about the Agency‘s discrimination-complaint mediation program and
procedures is on line at: http://www.floridajobs.org/civilrights/moa/tabs/8-C-1.doc.

830 Intimidation and Retaliation Prohibited

No recipient may discharge, intimidate, retaliate, threaten, coerce or discriminate against any
individual because the individual has: filed a complaint; opposed a practice prohibited by the
nondiscrimination and equal-opportunity provisions of the WIA; furnished information, or
assisted or participated in any manner in an investigation, review, hearing or any other activity
related to administration of, exercise of authority under, or exercise of privilege secured by the
nondiscrimination and equal-opportunity provisions of the WIA or 29 CFR part 37. The
sanctions and penalties contained in these procedures may be imposed against any recipient who
engages in any such retaliation or intimidation, or fails to take necessary steps to prevent such
activity.


37
     The procedures at Exhibit 8-A include provisions under Florida law.


Office for Civil Rights                                VIII-2                           September 2007
                                           State of Florida
                                   Agency for Workforce Innovation
     The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                     Element 8: Discrimination-Complaint Processing Procedures

840 Record Keeping

Records must be maintained for all complaints and related actions for a period of three years
from the date of closure of the complaint and must be made available to the OCR, and/or the
CRC upon request. All complaints of discrimination and related materials shall be handled in a
guarded and discreet manner; the name of the complainant shall be kept confidential where
possible.

A secure, password-protected on-line system for complaint recording and reporting is now in use.
Each regional workforce board has access only to its own complaint information; the OCR can
review, but not edit, regional information and can enter data for complaints filed with the OCR.
Each region can print a report for internal use; the OCR can print a consolidated report. More
information about this system is included as Exhibits 8-D and 8-E.

850 Dissemination of Procedures and Forms

The OCR‘s complaint-investigation and mediation procedures are included in English, as
Exhibit 8-A 1 and 8-C 1, respectively, and in Spanish, as Exhibits 8-A 2 and 8-C 2, respectively,
and     are    also     available    on    line,     through   the    following     web      site:
http://www.floridajobs.org/civilrights/ocr_complaint.html. The audio versions, which are in
English, are available through the same web site. 38

The complaint-information form and filing instructions are available in English and in Spanish,
and are included as Exhibits 8-B 1 and 8-B 2, respectively. The form and filing instructions are
also         available        on          the        OCR‘s         web          site,        at:
http://www.floridajobs.org/civilrights/ocr_complaint.htmll.

The procedures were discussed at the 2001 and 2004 training for workforce-board equal
opportunity officers, with instruction to disseminate the procedures to their respective service
providers. Revisions to the procedures based on the recommendations from the CRC were
discussed at the February 2006 training.

860 Complaint-Investigation and Mediation-Program Time Lines

The complaint-processing procedures, included as Exhibit 8-A include time frames for the
several phases in the complaint-investigation and mediation processes. These time frames are
shown on the chart included as Exhibit 8-F.


38
     Production of the procedures in audio format was handled by the Agency‘s Office of Communications, at no cost
      to the Office for Civil Rights.


Office for Civil Rights                               VIII-3                                      September 2007
This page intentionally left blank.
                                      State of Florida
                              Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                           Element 9: Corrective Actions and Sanctions


Element 9: Corrective Actions and Sanctions (General Provisions)
[29 CFR 37.37 and 37.54(d)(2)(vii)]

Recipients determined to be in violation of the nondiscrimination portions of the Workforce
Investment Act (WIA) as a result of a discrimination complaint or a monitoring review, or both, are
required to take prompt corrective and/or remedial action. A violation may range in seriousness
from a technical violation to discrimination. Technical violations may take the form of failure to
include required language in assurances, failure to post the required equal-opportunity notices, etc.
The more serious discrimination violations include findings of: disparate treatment, disparate
impact, and failure to provide a reasonable accommodation. Sanctions may be imposed where
voluntary compliance cannot be accomplished.

910 Corrective Action

Corrective action means prompt action designed to completely correct the violation and bring the
recipient into compliance. Corrective actions must be appropriate for the violation identified and
must be designed to end discrimination and/or redress the specific violations. Any corrective
action must be narrowly tailored to resolve the specific violation found and must assure that
discrimination does not recur. Corrective action may also require remedial action. Where
appropriate, the corrective action may also include educating individuals responsible for the
violation.

920 Remedial Action

Remedial action means an action designed to make whole an individual or individuals who suffered
injury or loss because of unlawful discrimination. Anyone victimized by discriminatory acts or
policies must be restored to the status he or she would have received had the discrimination not
occurred. Remedial action can include either retroactive relief, prospective relief, or both.

    (1) For employees of the recipient, retroactive relief may include, for example, back pay, front
        pay, retroactive benefits, other monetary relief, reinstatement, promotion, disciplinary
        action, retroactive seniority, transfer, or training. Monetary relief associated with remedial
        action cannot be paid from federal funds. For participants, it may include, for example,
        accelerated, priority or special services, or expanded placement or referral services, or the
        provision of any service discriminatorily denied.
    (2) Prospective relief may include, for example, training, change of policy, development of new
        policy, communication, training on policy communication, additional record keeping,
        accommodation, personnel changes or changes to physical facilities.




Office for Civil Rights                         IX-1                                   September 2007
                                        State of Florida
                                Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                             Element 9: Corrective Actions and Sanctions

930 Procedures

The need for a remedy arises in connection with a finding of discrimination as part of a complaint
4investigation or a finding of noncompliance as part of a compliance review. Recipients will be
notified, in writing, of any finding of discrimination and/or noncompliance via a document called
an Initial Determination. The Initial Determination will specifically list any findings and also spell
out the steps the recipient must take to accomplish voluntary compliance through a corrective-
action plan. The recipient may agree to the terms of the corrective-action plan as proposed by the
Office for Civil Rights (OCR), or may propose alternatives and informally negotiate the terms of
any plan until the plan is acceptable to both the recipient and the OCR.

For each corrective action, a time frame must be established that is the minimum time necessary to
completely correct the violation. In the case of a finding of discrimination, the corrective-action
plan must provide, where appropriate, for retroactive relief and prospective relief.

Where a recipient does not accept the terms of a corrective-action plan as proposed by the OCR,
and is unable through informal negotiations to achieve a plan it finds acceptable, the OCR will
issue a document called a Final Determination. The Final Determination shall include:

    (1)   the specific act(s) constituting the violation;
    (2)   a copy of the proposed conciliation agreement;
    (3)   a chronology of the Agency‘s equal opportunity officer's conciliation efforts;
    (4)   a description of any proposed sanction(s); and
    (5)   a statement that the recipient has a right to request a hearing.

A copy of the Final Determination will be sent to the recipient.

A recipient may appeal the Final Determination by requesting a hearing to be conducted by the
Agency Director (or designee). If the recipient does not request a hearing in writing within 30 days
after receiving the Final Determination, the Final Determination will become the final decision of
the Agency Director, and any sanctions listed in the Final Determination may be imposed.

If the recipient does request a hearing, any sanctions called for in the Final Determination may be
imposed only after a hearing has been held and the Agency Director (or designee) makes a final
written decision on the validity of each finding and the appropriateness of each sanction called for
in the Final Determination.

The Agency Director, however, with the approval of the Governor, retains discretion to impose
temporary sanctions on an emergency basis where extreme circumstances warrant.




Office for Civil Rights                            IX-2                                    September 2007
                                     State of Florida
                             Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                          Element 9: Corrective Actions and Sanctions

Except in emergency situations, no sanction shall be imposed against a recipient until the following
conditions have been met:

    (1) The OCR has made a good-faith effort to resolve the matter through informal means and
        has determined that compliance will not be achieved voluntarily;
    (2) The Governor's liaison (Agency Director) approves the need for and the nature of the
        proposed sanction(s); and
    (3) The recipient has received the Final Determination listing the proposed sanctions, and has
        either not exercised or has exhausted its appeal rights.

A copy of the Final Decision will be provided to the Director of the Civil Rights Center (CRC)
upon final decision by the Agency Director.

940 Monitoring

Where a corrective-action plan is established, the recipient will report in writing to the OCR
every 30 days regarding its progress on the plan until all commitments made in the plan are
fulfilled. Each 30-day progress report should indicate the status of each item in the corrective-
action plan, what actions the recipient has taken during the previous 30 days toward achievement
of the plan, what remains to be done, and a schedule listing the dates when each remaining action
is to be completed.

950 Sanctions

A sanction is any official action implemented to penalize or censure a non-complying recipient.
The ultimate sanction available is to revoke approval of part or the entire local plan and cut off
funding to the recipient. Sanctions that may be imposed are listed in Table 9.1 (next page).
Procedures regarding sanctions are included as Exhibit 9-A.




Office for Civil Rights                        IX-3                                   September 2007
                                         State of Florida
                                 Agency for Workforce Innovation
    The Methods of Administration under the Workforce Investment Act of 1998 (WIA)
                              Element 9: Corrective Actions and Sanctions


                                                  Table 9.1
                                             Potential Sanctions

             (1) Deferral of action on the recipient’s applications for new WIA financial assistance.
             (2) Referral to the CRC or the Attorney General for appropriate legal action.
             (3) Disallowance of selected costs (e.g., salaries).
             (4) Partial funding.
             (5) Temporary suspension of financial assistance until compliance is achieved.
             (6) Offsets.
             (7) Legal action under state contract law, based upon the recipient's assurance of
                 compliance with the WIA, federal regulations, state law and governor's directives.
             (8) Any other actions as may be provided by law.

         Notes:
         1. This listing of sanctions should not be considered conclusive or absolute, since the
            unique circumstances surrounding a civil-rights or equal-opportunity issue may vary.
         2. Monetary relief cannot be paid from federal funds. (Reference: 29 CFR 37.94(c))




Office for Civil Rights                              IX-4                                      September 2007

				
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