No substantive changes.
The grantee must ensure that no person in the United States shall on the grounds
of race, color, creed, national origin, sex, age, or disability be excluded
from participating in, or denied the benefits of, or be subject to
discrimination in employment under any project, program, or activity receiving
federal financial assistance from the federal transit laws.
-
Has the grantee had, or been informed that it will have, an
EEO Compliance Review by the FTA Office of Civil Rights? If yes, when was the
site visit?
Explanation
Consistent with FTA’s oversight responsibilities, FTA has initiated a
program of grantee reviews assessing compliance with the EEO regulations. The
review is comprehensive in nature, including a review of each agency’s
policies, procedures, and recordkeeping. The EEO compliance review assesses the
implementation of the EEO program in seven areas: Policy statement;
dissemination of the policy; designation of personnel responsibility;
utilization analysis to identify any underutilization and/or overconcentration
of minorities and women; goals and timetables to correct underutilization or
overconcentration; and a monitoring and reporting system to assess EEO
accomplishments.
After the review is complete, the review team conducts an exit interview
presenting the findings, if any, to the grantee. A draft report documenting the
deficiencies and necessary corrective actions is provided to the grantee within
30 days of the site visit. A letter and final report is issued within 60 days
of the site visit. The grantee then will have 90 days to take corrective
actions and provide appropriate documentation to the Civil Rights Officer
(CRO). The CRO will issue a closeout letter once the grantee is fully in
compliance.
If an EEO Compliance Review has been conducted in the past two fiscal years or
if one is scheduled for the current fiscal year, (FYs 2005, 2006, and 2007),
triennial reviewers should note on the worksheets when the compliance review
was performed. If findings from the EEO review are still being monitored, or if
the EEO review is pending, the triennial review will not include this area. If
the EEO review is closed, the reviewer should seek guidance on whether or not
to conduct the review from the Regional Civil Rights Officer and the Office of
Civil Rights.
Reason for the Question
Input to triennial review
Sources of Information
Immediately prior to the site visit, the reviewer should contact the CRO to
determine if an EEO Compliance Review is scheduled or has been conducted during
the past two fiscal years. The Regional Oversight Resource Plan also may
contain a schedule of EEO reviews to be held during the year.
Determination
If the EEO area is not included in the review, use the finding of Not Reviewed
(NR).
Suggested Corrective Action
None.
Back to Questions
-
Who is responsible for ensuring that equal employment
opportunities (EEO) obligations are fulfilled? To whom does this individual
report for EEO matters? Is this a collateral duty assignment? If yes, do
potential conflicts exist and how are they identified and resolved?
Explanation
The grantee’s Chief Executive Officer (CEO) should designate an EEO
Officer and adequate staff to administer the EEO program. The EEO Officer
should be an executive and must report directly to the CEO. Care should be
taken to avoid conflicts when assigning responsibility for administering the
EEO program as a collateral duty assignment, e.g., a personnel officer may have
a conflict of interest.
Reason for the Question
FTA C 4704.1,
II-1 and III-2(c)
Sources of Information
The EEO program submissions to the CRO may include the name and reporting
relationship of the EEO Officer. This information should be updated at the site
visit. The CRO should be consulted for any indications of past problems with
staffing. Current staff assignments should be confirmed in discussions at the
site visit. An organization chart can indicate reporting relationships. A job
description for the EEO Officer can confirm responsibilities and reporting
relationships.
Determination
If the grantee has designated an EEO Officer and adequate staff to administer
the EEO program and there are no potential conflicts of interest with this
assignment, the grantee is not deficient. A temporary staffing problem or
coordination problems among responsible offices could lead to a finding of
deficient. If the EEO Officer does not report directly to the CEO, the grantee
may be deficient. The determination will be partially based on the size of the
grantee. Large grantees should have clear reporting relationships with no
conflicts of interest. Small grantees often have limited personnel with shared
roles, resulting in more latitude for enforcing this requirement.
Suggested Corrective Action
The grantee needs to designate EEO responsibilities properly. The grantee may
need to change reporting relationships or assignment of responsibilities. The
grantee should provide evidence of corrective actions to the regional office.
Back to Questions
-
Has the grantee’s EEO program been approved by FTA, (if
the grantee employs 50 or more transit-related employees, and if the grantee
received in excess of $1 million in capital or operating assistance or in
excess of $250,000 in planning assistance in the previous federal fiscal year)?
If yes, when does the approval expire? If not, provide an explanation.
Explanation
A formal EEO program is required of any grantee that both employs 50 or more
transit-related employees (including temporary, full-time or part-time
employees either directly employed and/or through contractors) and received in
excess of $1 million in capital or operating assistance or in excess of
$250,000 in planning assistance in the previous federal fiscal year. The
program requirements detail what must be included, such as a workforce analysis
(including an identification of areas of underutilization), goals and
timetables, an assessment of past employment practices and proposed remedies
for problem areas, and a monitoring and reporting system. Program updates are
required every three years.
Note: Employees are not counted in aggregate. The requirement applies to
any single employer of 50 or more transit-related employees. For example, if a
city (receiving over $1 million in FTA funds) with 10 transit-related employees
contracts with a private provider who employs 40 transit-related employees,
then neither the city nor the contractor is required to have a formal EEO
Program. However, if the city (the grantee) or contractor exceeds both
thresholds, then the grantee would be required to submit a formal EEO Program
to FTA. If the contractor employs 50 or more transit-related employees, the
grantee should ensure that the contractor submits a formal EEO Program to the
grantee for review and approval.
Reason for the Question
FTA C 4704.1,
II-5
Sources of Information
The CRO’s files should include a copy of the most recently submitted
program. Correspondence should indicate when it was approved by FTA and when
the approval expires. The grantee’s files should include a copy of the
EEO Program of its contractor(s) who employs 50 or more transit-related
employees.
Determination
If a current EEO program has been submitted and approved, the grantee is not
deficient. If the current EEO program has expired and the grantee has not
submitted a program update or requested and received an extension for
submitting a new program, the grantee is deficient.
Suggested Corrective Action
The grantee needs to submit the required EEO program or program update to the
regional office.
Back to Questions
-
Has FTA placed any conditions on the EEO program approval? If
yes, what is the status of the corrective actions?
Explanation
In reviewing the grantee’s EEO program, the CRO may have issued a
conditional approval and identified corrective actions that need to be taken.
Corrective actions may be required in cases where FTA has determined that a
grantee is deficient or is in probable deficiency with the requirements of FTA
C 4704.1.
Reason for the Question
FTA C 4704.1,
VI
Sources of Information
The CRO’s files should include documentation of any corrective action
that is required of grantees. During the site visit, discuss the status of any
outstanding items that require corrective action.
Determination
If the grantee has completed all corrective actions, the grantee is not
deficient. If the grantee has not completed all corrective actions as
scheduled, the grantee is deficient.
Suggested Corrective Action
The grantee needs to take steps to complete corrective actions within 60 days
and provide evidence of such to the regional office.
Back to Questions
-
Please provide a summary of EEO complaints, both formal and
informal, filed during the past three years. How are these complaints
addressed?
Explanation
Employees and applicants have the right to file complaints alleging
discrimination on the basis of race, color, creed, national origin, sex, age,
or disability. The grantee should have sufficient staff and procedures to
handle such complaints appropriately and to respond in a timely manner.
Reason for the Question
FTA C 4704.1III-2
Sources of Information
Information regarding complaints may be obtained from headquarters or the CRO,
or the grantee. A listing of all complaints during the past three years and the
disposition of such complaints should be made available at the site visit.
Determination
If the grantee has documentation indicating that any complaints received are
being addressed, the grantee is not deficient. If no complaints have been
received but the grantee provides a satisfactory explanation of how complaints
would be processed, the grantee is not deficient. (There is no specific
requirement that there be a written complaint handling process.) If complaints
indicate that the grantee is violating EEO program regulations or if the
grantee does not respond to complaints, the grantee is deficient.
Suggested Corrective Action
The grantee needs to develop and implement procedures for handling EEO
complaints and submit these procedures to the regional office. Outstanding
complaints should be addressed.
Back to Questions
-
If applicable, were EEO goals met during the past three years?
What are the grantee’s current areas of underutilization? What is the
grantee doing to address this underutilization (e.g., outreach programs)?
Explanation
Goals and timetables are management tools to assist in the optimum utilization
of human resources. Specific and detailed percentage and numerical goals with
timetables must be set to correct any underutilization of specific affected
classes of persons identified in a workforce utilization analysis. Grantees
must conduct a detailed assessment of present employment practices to identify
those practices that operate as employment barriers and unjustifiably
contribute to underutilization. Barriers can include having employment material
only available in English and not available for persons with limited English
proficiency. Grantees should have outreach efforts to populations that are
underrepresented.
Reason for the Question
FTA C 4704.1,
III. e,f,g ,
Federal Register: December
14, 2005 (Volume 70, Number 239, pp.74087-74100) “DOT Policy
Guidance Concerning Recipients’ Responsibilities to Limited English
Proficiency (LEP) Persons.”
Sources of Information
The grantee’s EEO program update should contain current information on
the EEO goals and areas of underutilization. At the site visit, the grantee
should provide employment material, examples of actions taken to accommodate
persons with disabilities and persons with LEP, and a copy of the most recent
workforce utilization analysis to show progress toward meeting EEO program
goals. Discussions should be held with the grantee on its current efforts to
not discriminate in its hiring practices (including outreach) and to resolve
any situations of underutilization.
Determination
If the grantee has approved EEO goals and is making satisfactory progress
toward current year goals, the grantee is not deficient. If the grantee has not
met its prior year goals, but it has outreach efforts in place to address areas
of underutilization, the grantee is not deficient. If prior year goals were not
attained and a satisfactory explanation cannot be provided, or the grantee did
not have adequate procedures including outreach, the grantee is deficient.
Suggested Corrective Action
The grantee needs to develop a plan to meet its EEO goals, including a detailed
assessment of present employment practices to identify those practices that
operate as employment barriers and unjustifiably contribute to
underutilization, and submit the plan to the regional office. Develop and
implement an outreach program and report to FTA on both efforts.
Back to Questions
-
Does the grantee’s program ensure non-discrimination for
ADA-eligible persons in terms of employment? Does the grantee have a policy and
procedures for making reasonable accommodations for persons with disabilities?
If requested, did the grantee make reasonable accommodations for persons with
disabilities during the past three years, in accordance with Title I of the
ADA? If so, please describe.
Explanation
Grantees are required to not discriminate against persons with disabilities.
Discriminatory acts include but are not limited to denying a person the
opportunity for participation in or the benefit of a program and limiting for a
qualified handicapped person the enjoyment of any right, privilege, advantage,
or opportunity enjoyed by others receiving an aid, benefit, or service.
Grantees are required to not discriminate in employment and to make reasonable
accommodations for qualified candidates with disabilities hired by the grantee.
Such accommodations could include modifications to telephone systems,
computers, office furniture, etc.
Reason for the Question
49 CFR Part
27.7
49 CFR Part
27.19
49 CFR Part
38
Sources of Information
At the site visit, the grantee should identify its employment program and
efforts to employ persons with disabilities and indicate if any persons with
disabilities that have been employed in the past three years. The grantee
should describe reasonable accommodations made for qualified employees.
Determination
If the grantee has a program that does not discriminate, employs persons with
disabilities, and makes reasonable accommodations, the grantee is not
deficient. If the grantee has no process for making reasonable accommodations
for persons with disabilities, the grantee is deficient.
Suggested Corrective Action
The grantee needs to develop a process for making reasonable accommodations for
persons with disabilities and submit evidence of such to the CRO.
Back to Questions
