Federal Transit Agency Compliance 101: Keeping up with Circular 4704.1A
Biddle Consulting Group Inc.
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Agenda What is an EEOP? Who Needs to Create an EEOP? EEOP Component: Narrative EEOP Component: Reports Implementing Your EEOP Audit Process Questions and Answers
WHAT IS AN EEOP?
What is an EEOP? The EEOP is a detailed, results-oriented set of procedures designed to ensure Federal Transit Administration (FTA) grant recipients meet EEO requirements in employment-related matters. It outlines the steps necessary for the agency to achieve and ensure equal employment opportunities throughout their employment practices
What is an EEOP? The EEOP consists of a narrative portion and tables of analyses The narrative portion is written to describe policies and procedures, designate responsibility within the agency, and establish the framework for the analysis tables The analysis tables contain current employee, transactional, and availability data which is used to establish the agency s baseline and reasonably attainable utilization goals based on gender and race
What is an EEOP? The EEOP Program Elements are: Statement of Policy Plan for Internal and External Dissemination Designation of Responsibility Availability Analysis (data report) Utilization Analysis with Goals and Timetables (data report) Assessment of Employment Practices (part narrative, part data report) Plan for monitoring and reporting
WHO NEEDS AN EEOP?
Who Needs an EEOP? Any applicant, recipient, sub-recipient, or contractor that receives FTA funding must comply with applicable Federal civil rights laws. Larger agencies: Any applicant, recipient, sub-recipient, or contractor that meets both of the following criteria must implement all of the EEOP elements: Employs 100 or more transit-related employees Requests/receives capital or operating assistance in excess or $1 million or planning assistance in excess of $250k
Who Needs an EEOP? Smaller agencies: Agencies between 50 and 99 transit-related employees are required to prepare and maintain the narrative portion of the EEOP They are not required to conduct a utilization analysis with goals and timetables or submit the EEOP every four years However, they are required to provide the EEOP to the FTA if requested
EEOP COMPONENT: NARRATIVE
EEOP Component: Narrative The EEOP narrative consists of two portions: Policy and Procedural Section Accompaniment to Reports
EEOP Component: Narrative Statement of Policy The policy statement expresses the commitment to EEO It is a reminder that all employees are protected under EEO laws Must contain contact information for the designated EEO Officer
EEOP Component: Narrative Sample Policy Statement
EEOP Component: Narrative Internal and External Dissemination Agencies must publicize their EEO Policy internally by: Posting the policy statement in a conspicuous location (breakroom, website, etc.) and including it in employee handbooks and training materials Posting other applicable EEO materials (Labor law posters, etc.) in break rooms and personnel offices Meeting with top management to discuss Conducting periodic EEO training sessions Conducting training sessions for new supervisors an managers within 90 days of their appointment These actions and policies should be outlined in the narrative
EEOP Component: Narrative Internal and External Dissemination Agencies must publish their EEO Policy externally by: Disseminating the EEO Policy statement in communication with outreach and recruitment agencies Any recruitment ad should state that the agency is an equal opportunity employer These actions and policies should be outlined in the narrative
EEOP Component: Narrative Designation of Responsibility FTA requires agencies to designate an executive as the EEO Officer. The EEO Officer must be given sufficient staff to carry out the EEOP There must not be any conflict of interest between the EEO Officer s role and any other role they may hold within the agency (e.g. HR Director) FTA requires the agency to also designate responsibilities for managers and supervisors* *See Chapter 2, Part 5 of the circular for specific responsibilities
EEOP Component: Narrative Sample Designation of Responsibility
EEOP Component: Narrative Assessment of Employment Practices This helps the agency get to the root of the problem after any underutilization has been identified Practices must be identified in narrative and statistical formats Narrative format will describe any observed barriers and corrective actions (i.e. utilization goal identified lack of female or minority applicants identified corrective action: outreach and recruitment that targets females and minorities) Statistical format will compare the ratio between demographic groups for each employment practice (e.g. applicants vs. hires)* *Discussed in later slides
EEOP Component: Narrative Assessment of Employment Practices FTA requires the agency to evaluate every step in the employee selection process Testing o Any test used must have an explanation of the administration procedures o Tests should be properly validated per FTA guidance! Transfers and Promotions Seniority Practices Training Compensation and Benefits Disciplinary Actions and Terminations
EEOP Component: Narrative Monitoring and Reporting System FTA requires agencies to monitor EEO Components and describe procedures to determine EEO compliance of sub-recipients and contractors Agencies must also have a clearly defined complaint process to ensure employees know how to file a complaint FTA also requires agencies to maintain records on applicants, promotions, transfers, terminations, training opportunities, etc
EEOP Component: Narrative Monitoring and Reporting System EEOPs must describe the frequency and results of: Meetings between CEO and EEO Officer to discuss progress Meetings between EEO Officer and managers Meetings between EEO Officer and hiring personnel to discuss current goals and statistics FTA also requires a list of sub-recipients/contractors, proof of review of their EEOPs, an organizational chart of the agency with relationships between department heads, and a copy of the goals and timetables chart from the previous submission
EEOP COMPONENT: REPORTS
EEOP Component: Reports Workforce Analysis Includes the number of employees for each racial category broken out for males and females, as well as salary ranges for each job category or EEO-4 category Per the Circular, agencies are also encouraged to conduct a utilization analysis by EEO-4 category, department, and rank of employee o For clarity, Biddle Consulting Group recommends submitting the following: A Workforce Analysis, which contains the job titles (or EEO-4 categories) in each department or organizational unit with gender and race detail as well as salary ranges A Job Group Analysis, which contains the job titles and their respective race and gender information broken out by job group (or EEO-4 category)
EEOP Component: Reports Sample Workforce Analysis
EEOP Component: Reports Sample Job Group Analysis
EEOP Component: Reports Availability Analysis An availability analysis identifies the availability of minorities and women in their relevant recruiting areas, both geographic and internal For each job group, agencies should identify which recruiting areas are a factor in their placements (Local, National, or Internal [promotion or transfer]) Agencies must compile race and gender information for their identified recruiting areas (census data, internal job group data, etc.)
EEOP Component: Reports Sample Availability Analysis
EEOP Component: Reports Utilization Analysis The utilization analysis compares the demographic information identified in the job group analysis with the available demographic data (as identified in the availability analysis) This compares what you currently look like (job group analysis) to what you should look like (availability analysis)
EEOP Component: Reports Goals and Timetables Once you have compared your incumbency to the availability, you will be able to establish goals and timetables In instances where your current incumbency is less than the identified availability (within a whole person), a goal will be established The magnitude of the goal will depend on how big the difference is between your incumbency to availability
EEOP Component: Reports Goals and Timetables Once the goal is established, the agency must come up with a timeline to reasonably achieve that goal, both long-term and short-term FTA recommends agencies utilize current and projected vacancies to establish a timetable for eliminating the goals o For example, if an agency is underutilized by three whole people for Hispanic Males in one job group and the agency anticipates having four vacancies in the next four years, the long-term goal would be to make three Hispanic Male placements into that job group in the next four years. The short-term goal would be to make one Hispanic Male placement in the next year
EEOP Component: Reports Sample Utilization Analysis with Goals and Timetables
EEOP Component: Reports Statistical Impact of Employment Practices (Four-Fifths Analysis) This analysis compares data from your various personnel practices to examine whether a difference between groups is observed Typical employment practices include: Applicants vs. Hires Those available for a promotion vs. Promoted Those available for training vs. Trained Those available for termination vs. Retained If the selection rate of one group is not at least 80% of the selection rate of the highest-selected group, it will be flagged as a potential issue and should be addressed in the narrative
EEOP Component: Reports Sample Four-Fifths Analysis:
IMPLEMENTING YOUR EEOP
Implementing Your EEOP EEOP must be updated, submitted and approved every four years (for agencies that meet the employee threshold) EEO Officer s job is not finished once the EEOP is complete; it has actually just begun Begin efforts to remedy problem areas as soon as possible
Implementing Your EEOP An effective method of capturing necessary data is key to paving the way for EEO compliance Without a reliable method of keeping track of applicants, hires, promotions, disciplinary actions, etc. there will be no way to accurately analyze the data for the EEOP Reliable HRIS systems, applicant tracking systems, etc. are key
Implementing Your EEOP Agencies should strive for consistency in the methods and techniques used by hiring managers, supervisors, and recruiters Inadequately trained managers and supervisors can unknowingly contribute to utilization goals and disparity If you are unsure of where to start or are overwhelmed by the various pieces of the puzzle, GET HELP!!
AUDIT PROCESS
Audit Process FTA is required to conduct compliance reviews They may review all or a portion of the agency's compliance EEO complaints or prior findings may increase the likelihood of a compliance review If a complaint is received and approved for investigation, FTA will conduct a compliance review
QUESTIONS?