LWIA IV EQUAL OPPORTUNITY ON-SITE COMPLIANCE REVIEW

K A N S A S D E P A R T M E N T O F C O M M E R C E R E G U L A T O R Y C O M P L I A N C E U N I T L E G A L S E R V I C E S MONITORING SUMMARY REPORT LWIA IV EQUAL OPPORTUNITY ON-SITE COMPLIANCE REVIEW DECEMBER 2012 REPORT #12-04-03

M O N I TO R I N G S U M M A RY R E P O RT LWIA IV EQUAL OPPORTUNITY ON-SITE COMPLIANCE REVIEW EXECUTIVE SUMMARY... III BACKGROUND... IV REVIEW SCOPE... IV REVIEW... 1 ENTRANCE CONFERENCE... 1 A. DESIGNATION OF EQUAL OPPORTUNITY OFFICER... 1 B. NOTICE AND COMMUNICATION... 1 C. CONTRACT AND AGREEMENT NON-DISCRIMINATION ASSURANCE... 2 D. UNIVERSAL ACCESS... 3 E. SERVICES TO CUSTOMERS WITH DISABILITIES... 4 F. DATA AND INFORMATION COLLECTION AND MAINTENANCE... 5 G. COMPLAINT PROCESSING PROCEDURES... 6 H. LOCAL AREA MONITORING... 7 I. CORRECTIVE ACTIONS AND SANCTIONS..... 8 EXIT CONFERENCE... 8 II

EXECUTIVE SUMMARY In October 2012, the Kansas Department of Commerce s Regulatory Compliance Unit (CRC) conducted an onsite review of Local Workforce Investment Area IV (LWIA IV) for compliance with federal and state equal opportunity regulations and policies. LWIA IV is comprised of six counties in south central Kansas. The Local Workforce Investment Board (LWIB) designated Workforce Alliance of South Central Kansas as the One-Stop Operator responsible for administering the Workforce Investment Act (WIA) adult, dislocated worker and youth programs. Kansas Department of Commerce (Commerce) employees provide Wagner-Peyser labor exchange and veterans services in the local area. All LWIA IV workforce development partners function under the common name Workforce Alliance. Additional information about Workforce Alliance is available at: www.workforce-ks.com. CRC visited the Wichita and Butler County Workforce Centers during the review and interviewed staff employed by Workforce Alliance and Commerce. CRC utilized the 2012 Equal Opportunity Review Guide to evaluate compliance with WIA s nine equal opportunity elements: designation of equal opportunity officer, notice and communication, contract/agreement assurances, universal access, services to customers with disabilities, data/information collection and maintenance, local monitoring, complaint processing, and corrective actions/sanctions. Based on the desk and on-site review, CRC offers the following recommendations: 1. Workforce Alliance and the Kansas Department of Commerce should ensure that the High Definition videoconferencing unit at the Butler County Workforce Center functions properly. 2. Workforce Alliance should ensure that the automatic door opener adjacent to the Butler County Workforce Center entrance functions properly. III

BACKGROUND Congress enacted the Workforce Investment Act of 1998 (WIA) to reform federal job training programs and create a new comprehensive workforce investment system. The Act s mission is to increase employment, retention, and participant earnings to improve the workforce quality to sustain economic growth, enhance productivity/competitiveness, and reduce welfare dependency. Final rules were published at 20 CFR Part 652 et al. on August 11, 2000, to provide WIA program implementation. WIA Section 188 prohibits discrimination on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and for beneficiaries only, status as a citizen or individual lawfully admitted into the U.S. or participation in a WIA Title I financially assisted program or activity. Section 188 protects individuals from being excluded from participation in, denied the benefits of, subjected to discrimination under, or denied employment in the administration of or in connection with any Title I funded program or activity. Title 29 CFR Part 37 implements the equal opportunity and nondiscrimination provisions of WIA Section 188. REVIEW SCOPE Commerce, the designated Workforce Investment Act (WIA) grant funds recipient, monitors five local areas for compliance with the Act s federal rules and regulations addressing program service provision, adherence with uniform administrative requirements and compliance with non-discrimination and equal opportunity provisions. Commerce s Regulatory Compliance Unit (CRC) fulfills this requirement through periodic program and administrative reviews. Reviews may include any or all of the administrative components for a program. Monitoring results are documented in a report and disseminated for response and referenced during corrective action proceedings, if necessary. CRC uses several reference documents to prepare for onsite reviews and to answer questions during compliance activities. These documents include but are not limited to: Workforce Investment Act of 1998 Workforce Investment Act; Final Regulations Wagner-Peyser Act of 1933, as amended by the Workforce Investment Act of 1998 Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments contained in the Code of Federal Regulations at 29 CFR Part 97 Previous monitoring reports issued by the U.S. Department of Labor (USDOL), Commerce Regulatory Compliance Unit, or other independent entity Kansas Department of Commerce WIA Policies and Procedures Local Area Workforce Investment Plans Local Area Policies and Procedures Manuals Sub-recipients submitted monthly fiscal and performance reports IV

REVIEW Entrance Conference CRC conducted the entrance conference on Thursday, October 11, 2012, at the Workforce Alliance administrative office located at 150 North Main Street in Wichita, Kansas. CRC Equal Opportunity Officer John Ybarra conferred with Workforce Alliance s Director of Policy and Planning Linda Sorrell, Director of One-Stop Operations Katie Baker, and Policy Manager Denise Houston to review questions from the 2012 CRC Workforce Center Equal Opportunity Review Guide. Ms. Sorrell and Ms. Houston provided CRC with relevant review documents. A. Designation of Equal Opportunity Officer Workforce Alliance designated Linda Sorrell, Director of Policy and Planning, as the LWIA IV Equal Opportunity officer to ensure the local area complies with state and federal nondiscrimination regulations. Ms. Sorrell is a senior-level employee and reports directly to the Workforce Alliance Executive Director. Ms. Sorrell s equal opportunity responsibilities include discrimination complaint receipt and processing, service provider monitoring, staff training coordination, and technical service provision. Ms. Sorrell is also Limited English Proficiency (LEP) Coordinator and assists staff in accessing qualified language resources when necessary. CRC noted that Ms. Sorrell s name, title, address, and phone number including TTY/Relay number appeared on all local area communications related to non-discrimination and equal opportunity programs. Ms. Sorrell submits a quarterly discrimination complaint log to CRC and retains complaint inquiries and records for at least three years according to federal regulations at 29 CFR Part 37.29. B. Notice and Communication Customers registering for job service assistance receive the required equal opportunity notification through the KANSASWORKS website. KANSASWORKS can translate the equal opportunity notice into several languages to help limited English proficient (LEP) customers understand their right to file a discrimination complaint. CRC noted that case management staff uniformly provided the required Equal Opportunity is the Law notice and complaint and grievance policy to each WIA participant at enrollment and maintains signed copies in their case file. The required Equal Opportunity is the Law and Discrimination is Against the Law posters are displayed prominently in each workforce center in English, Spanish, and Vietnamese languages. Additionally, CRC noted that Workforce Alliance consistently provides required 1

taglines in printed and electronic communications notifying customers with disabilities that they may request accommodations when utilizing the workforce center or attending workshops, job fairs, etc. Workforce Alliance utilizes the following tagline to provide notice: Equal Opportunity Employer/Program-Auxiliary aids and services are available upon request to individuals with disabilities. The hearing impaired my contact the Workforce Centers by calling the Kansas Relay Center at 1-800-766-3777. C. Contract and Agreement Non-Discrimination Assurance The Workforce Alliance Non-Discrimination Contract Assurance states: Nondiscrimination By signing this document, the WIA Title I grant recipient or sub-recipient assures that, as a condition of receiving federal funds, it will comply fully with the nondiscrimination and equal opportunity provisions of the following law, according to applicable principles found at 20 CFR 667.200(f):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 basis 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 in educational programs on the basis of gender. The WIA Title I recipient or sub-recipient 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 WIA Title I recipient or subrecipient's operation of the WIA Title I program or activity, and to all agreements the WIA Title I recipient or subrecipient makes to carry out the WIA Title I program or activity. The WIA Title I recipient or sub-recipient understands that the United States Department of Labor has the right to seek judicial enforcement of this assurance. 2

D. Universal Access Job Service Registration Any job candidate qualified to work is eligible to register for job service on the KANSASWORKS site. Individuals are free to use the resources found in the workforce centers and receive basic job search assistance without registration, if their activities can be accomplished on a self-service basis. Registration is required when significant staff assistance other than basic information provision is necessary. Upon registration, staff assesses customers for veterans status, migrant or seasonal farm worker status, and other factors including job skills, training, experience, and job preference. High Definition (HD) Videoconferencing Workforce Alliance utilizes High Definition (HD) videoconferencing units to assist jobseekers, employers, and partners. The units are equipped with flat panel monitors, web cameras, and a personal computer which can be used to facilitate off-site employment interviews for customers, and to provide interpretation for deaf and limited English proficient customers. CRC noted that the HD Unit at the Butler County Workforce Center did not function properly. Limited English Proficiency (LEP) Services Workforce Alliance maintains a limited English proficiency (LEP) policy which requires service providers to take reasonable steps to ensure LEP customers can access workforce center programs. The policy contains a bilingual staff directory and a list of translator and interpreter services accessible through the LEP Coordinator. Staff has access to community based interpreters who speak Spanish, Vietnamese, Cambodian and Laotian. Spanish and Vietnamese are the most frequently encountered languages at the Wichita Workforce Center. The Wichita Workforce Center employs four Spanish speaking staff and one Vietnamese speaking staff to assist LEP customers. CRC interviewed Spanish speaking staff who indicated they assist approximately 15 to 20 LEP Spanish speaking customers daily. The Vietnamese speaking staff person assists approximately 20 LEP customers per week. The Butler County Workforce Center does not employ bilingual staff and rarely encounters LEP customers. Staff indicated they would contact bilingual employees with Butler County Community College or staff at the Wichita Workforce Center for assistance if needed. Workforce Alliance and the Kansas Department of Commerce should ensure that the High Definition videoconferencing unit at the Butler County Workforce Center functions properly. 3

E. Services to Customers with Disabilities Disability Employment Initiative (DEI) The goal of the Kansas Disability Employment Initiative (DEI) is to improve education, training, and employment opportunities and outcomes for youth and adults with disabilities who are unemployed, underemployed, and/or receiving Social Security benefits. Through the DEI grant, Workforce Alliance employs a Disability Resource Coordinator who assists individuals with disabilities with finding job and training opportunities, accessing community resources, and understanding the impact of work earnings on their benefits. The Disability Resource Coordinator also builds partnerships between workforce center service providers, vocational rehabilitation agencies, and mental/developmental disability agencies. CRC interviewed the Disability Resource Coordinator and noted the program is very similar to the Disability Program Navigator initiative previously employed in Kansas workforce centers. Architectural Accessibility The Wichita and Butler County Workforce Centers provide accessible parking spaces, signage indicating accessible pathways/entrances, curb cuts, automatic door openers, and ramps or slopes to assist customers with wheelchairs to access the buildings. CRC observed however that the automatic door opener adjacent to the Butler County Workforce Center entrance does not function properly. Program Accessibility During assessment staff offers customers the opportunity to request accommodations needed for successful program participation. The Wichita Workforce Center employs a staff member fluent in American Sign Language to assist deaf and hard of hearing customers. Staff utilizes High Definition (HD) videoconferencing units to facilitate additional sign language interpretation services for deaf and hard of hearing customers. Subsequent to an interpretation request, staff contacts Commerce s Disability Employment Initiative Manager who arranges with the Community Services for the Deaf, Inc. (CSD) agency to provide a sign language interpreter via the HD system. Each workforce center also possesses an accessible computer workstation with technology to assist persons with blindness or vision impairment, deafness or hearing impairment, and any type of physical, cognitive, developmental, mental, or learning disability. CRC noted that the accessible computer workstations at each workforce center function properly. Workforce Alliance should ensure that the automatic door opener adjacent to the Butler County Workforce Center entrance functions properly. 4

F. Data and Information Collection and Maintenance Protecting Personally Identifiable Information (PII) Workforce Alliance s Record Maintenance and Retention Policy describes measures to protect Personally Identifiable Information by stating: Personal records of all participants will be private and confidential, and will not be disclosed to the public. Personal information may be made available to Workforce Alliance partners on a selective basis consistent with the registrant s signed Release of Information form. In addition, this information may be made available to persons or entities having responsibilities under WIA/Grant Provider including representatives of: The Department of Labor Designated Auditors/Monitors United States Office of Management and Budget The State of Kansas or Designated Auditors/Monitors Regional Economic Area Partnership as the Chief Elected Officials Board Appropriate governmental authorities involved in the administration of WIA/Grant Provider to the extent necessary for its proper administration. The conditions under which information may be released or withheld are shown below: Participants will have access to all information concerning themselves as individuals unless the records or information are exempted from disclosure as determined by legal counsel. Requests for information shall be submitted to the Chief Fiscal Officer or the Director of Policy and Planning. Requests will be reviewed and determined if they are part of the public domain. If it is determined that the request covers information in the public domain the requestor will be notified of the cost of providing records (cost will include staff time to gather and prepare records and duplicating costs). The appropriate records will be provided as soon as logistically possible. KANSASWORKS System Staff enters and tracks data regarding each registrant and participant s race, ethnicity, sex, age, and disability status (where known) in the KANSASWORKS system. KANSASWORKS is a web-based One-Stop client management application that allows staff to confidentially manage and monitor caseloads, capture customer assessment information, establish employment and training plans, search for WIA certified training providers, and track job referral and placement information. KANSASWORKS is capable of producing WIA equal opportunity reports showing participation levels for persons with disabilities and other minority groups. 5

Workforce Alliance Equal Opportunity Data This chart demonstrates local area WIA Totals for the program year ending 06/30/2012. Information generated on 11/01/2012. Service Program Services Core Services Intensive Services Training Services Individual Training Accounts Youth Services Supportive Services Follow-Up Services Exiters Exiters Entering Employment Exiters Attending School at Exit (Youth) Exiters Attending Post Secondary Education, Military Service, Apprenticeship (Youth) Total Participants Female White Black Asian Hawaiian/ Pacific Islander American Indian Multiple Ethnic Hispanic 2931 1224 1844 452 193 8 46 25 222 109 NA 41.8% 62.9% 15.4% 6.6% 0.3% 1.6% 0.9% 7.6% 3.7% 2705 1138 1678 430 167 8 45 22 212 106 NA 42.1% 62.0% 15.9% 6.25% 0.3% 1.7% 0.8% 7.8% 3.9% 2103 834 1373 309 140 7 28 20 163 74 NA 39.7% 65.3% 14.7% 6.7% 0.3% 1.3% 1.0% 7.8% 3.5% 1330 524 858 203 92 5 17 15 111 51 NA 39.4% 64.5% 15.3% 6.9% 0.45% 1.3% 1.1% 8.3% 3.8% 814 269 550 111 66 1 1 11 64 29 NA 33.0% 67.6% 13.6% 8.1% 0.1% 0.1% 1.4% 7.9% 3.6% 208 97 94 72 5 0 7 11 28 82 Disabled NA 46.6% 45.2% 34.6% 2.45% 0.0% 3.4% 5.3% 13.5% 39.4% 301 115 209 44 11 0 9 4 22 22 NA 38.2% 69.4% 14.6% 3.7% 0.0% 3.0% 1.3% 7.3% 7.3% 0 0 0 0 0 0 0 0 0 0 NA NA NA NA NA NA NA NA NA NA 1013 417 601 165 62 1 19 7 75 59 NA 41.2% 59.3% 16.3% 6.7% 0.1% 1.9% 0.7% 7.4% 5.8% 391 137 233 54 34 0 7 2 26 17 NA 35.0% 59.6% 13.8% 8.7% 0.0% 1.8% 1.8% 6.6% 4.3% 0 0 0 0 0 0 0 0 0 0 NA NA NA NA NA NA NA NA NA NA 2 1 1 1 0 0 0 0 0 2 NA 50.0% 50.0% 50% 0.0% 0.0% 0.0% 0.0% 0.0% 100.0% G. Complaint Processing Procedures Discrimination Complaint Procedures Workforce Alliance s discrimination complaint policy affords any applicant, customer, employee, participant, service provider, program recipient, operator, partner, or other interested party the opportunity to file a complaint alleging violation of local WIA programs, agreements, 6

policies and activities based on race, color, religion, sex, national origin, age, disability, political affiliation or belief, and/or participation in a WIA Title I-financially assisted program. Discrimination complaints must be filed within 180 days of the day on which the discrimination took place. Staff refers discrimination complaints to the LWIA IV Equal Opportunity Officer when informal resolution is not possible. Complainants may also seek resolution through the CRC Equal Opportunity Officer or the United States Department of Labor Civil Rights Center. General WIA Complaint and Grievance Procedures Workforce Alliance s general complaint and grievance process allows any applicant, employee, participant, service provider, program recipient, or other interested party to file a complaint alleging a violation of local WIA programs, agreements, or local board policies and activities for up to one year from the date of the alleged violation. Workforce Alliance policy encourages staff to attempt informal resolution; however, complainants dissatisfied with the outcome are instructed to submit written complaints to the LWIA IV Equal Opportunity Officer. The LWIA IV Equal Opportunity Officer will investigate the complaint and may arrange an administrative hearing if necessary. Workforce Alliance will then issue a final decision and offer complainants the opportunity to request a state-level review if necessary. H. Local Area Monitoring Workforce Alliance s monitoring unit consists of a program manager and two staff who conduct weekly adult, dislocated worker and youth reviews to ensure service provider quality. The unit has developed file monitoring guides and customer interview forms to evaluate service provider performance. CRC noted that file monitoring guides include sections to verify that participants received and signed equal opportunity and complaint/grievance notices. 7

I. Corrective Actions and Sanctions The Workforce Alliance Corrective Actions and Sanctions Policy states: Sanctions Workforce Alliance reserves the right to impose sanctions on any recipient determined to be in non-compliance with relevant Federal, State or Local regulation and/or in concurrence with, or in addition to, any sanction, exclusion or debarment issued by the USDOL, USOMB, State of Kansas, Local Area, and/or other Local Workforce Investment Boards. Sanctions may take the form of reimbursement of WIA funds; termination of contract, MOU, or any other agreement between the recipient and the Workforce Alliance; debarment of recipient from participation in any future Workforce Alliance solicitations; or all of these actions. The sanctions herein contemplated may be reported to the USDOL, USOMB, State of Kansas, and other Local Workforce Investment Boards for further action as that entity may deem appropriate.sanctions may be appealed within thirty (30) days of issuance, by sending written notice of the intent to appeal to the Workforce Alliance administrative office. Upon receipt of such notice, the Workforce Alliance will request that the Legal Division of the Kansas Department of Commerce, 1000 S.W. Jackson, Suite 100, Topeka, KS 66612 designate a hearing officer to ensure the appeal receives fair and impartial treatment. The hearing must be conducted within 45 days from the date the appeal is filed. The hearing officer will schedule a formal hearing and mail a written notice to the appellant, the Workforce Alliance, and any other interested party at least seven business days prior to the hearing. The notice will include the date, time, and place of the hearing. Parties may present witnesses and documentary evidence, and question others who present evidence and witnesses. Attorneys or other designated representatives may represent each party. All testimony will be taken under oath or affirmation. The hearing will be recorded either in writing or audiotape. The hearing officer's recommended resolution will include a summary of factual evidence presented during the hearing and the conclusions upon which the recommendation is based. The Workforce Alliance will review the recommendation of the hearing officer and issue a final decision within 60 calendar days from the date the appeal is filed. The decision of the Workforce Alliance shall be considered final. EXIT CONFERENCE Due to the lack of outstanding compliance issues CRC and LWIA IV mutually agreed that a formal exit conference was not necessary. LWIA IV Equal Opportunity Officer Linda Sorrell stated that her staff would attend immediately to the recommendations and report back to CRC. 8