Minnesota Department of Education

Affirmative Action Plan

September 1, 1978

Developed by the Department of Education Affirmative Action Office

Howard B§ Casmey, Commissioner

This document is made available electronically by the Minnesota Legislative Reference Library as part of an ongoing digital archiving project. http://www.leg.state.mn.us/lrl/lrl.asp

Table of Contents

Page

Introduction ~ ~ ~ i

Minnesota Statute, Chapter 708 • 41! Oil • ., Ill 411 Cl! 41 fll .. Ill • • Ill e e ii Transmittal Letter • 4111 Ill «< Ill Ill Cl! «< • II! II Q Ill 411 411 Ill " • Ill • lit Gl ell vi Policy Statement • lit Ill «< ., • 1!1 • lit • Ill Ill Ill • Ill • @ Q • lit Ill Ill • • 1

Purpose and Objectives 411 Ill II! Ill Ill 1111 • • Ill Ell 411 " • - • • • .; • • It 2

Responsibilities, Duties, and Accountability • • Ill 3

Commissioner of Education ~ ..... II! ••• ~~~ • • • • • • • 3 Deputy Commissioners/Division Heads ........ • • • • • 3 Managers/Supervisors. ell • • • II! ••• lit ~~~ ••• ~~~ • • • • • 3 Equal· Opportunity Officer ........ ~~~ •• ~~~ • ~~~ lit • • • • 4 Affirmative Action Officer .......... ~~~ • • • • • • • 5 Residential School Affirmative Action Officers• •• - • • • 6 Department Organization Chart .... lit • • • • • • • • • • • 6a

Affirmative Action Committee ~~ Ill •.

Communication/Dissemination of Equal Opportunity/Affirmative Action PolicY•

Goals and Timetables

Internal Audit and Reporting Systems •

Discrimination Complaint Procedure

7

8

9

10

11

Po 1 icy. • .; • 411 ~ 8 e. ~~~ • e~ • 11!1 II! ~~~ • .. • • • .. • • • • 11 a Definitions ~ • ~~~ 11!1 • II! 11!1 •••••••• ~~~ ~~~ • ~~~ ~~~ • • • llb Responsibilities and Duties of Department Employees ~~~ .. • • llb Equal Opportunity Council • II! • ~~~ ••• ~~~ • "' ...... llb Informal Complaint Filing 11!1 • ~~~ •• ~~~ • 11!1 •• ~~~ •• II! • • llc Formal Complaint Filing ••••••• ~~~ •• ~~~ ~~~ • .. • • • • llc Summary of the Investigation. ~~~ Ill. ~~~ ......... II! • llc Conciliation. 11!1· • ~~~ ~~~ • 11!1 • 11!1 ••••••••••• lld Hearing Procedure • • • • 11!1 ~~~ • • 8 ~~~ .. • • • • • • lld Conduct of the Appeal Hearing •• ~~~ ..... ~~~ •• ~~~ .. • • • lle Appeal Hearing Findings •• 8 11!1 • e. ••• ~~~ ••• - • • lle Re ta 1 i at i on • .. • - ~~~ • • .. ~~ • • 1'1 • • •• • • • 11 e Time Limitations@ ~~~ • ~~~ •••••• ~~~ • llf

Specific Program Objectives~

Recruitment Ill II! Ill II Iii Ill Selection Process Ill • Ill Wage/Salary Structure Cl Upward Mobility Gil II 1111 Ill Benefits and Conditions Disciplinary Action Termination •

Program Evaluation

Appendices

Cll! Ill • Cit Ill

Ill fl

II • Ill ft Ill Ill Ill Ell II Ill Ill! Iii Ill • .. Ill .. ~ ~ ~ Iii

Introduction

Equal Employment Opportunity is the law. It is mandated by federal, state, and local legislation and executive orders. This Affirmative Action Plan outlines the programs through which the Department of Education's equal employment opportunity policy will be implemented.

It is essential that all employees of the Department - not just the managers and supervisors - understand how and why equal employment opportunity usually requires positive·affirmative action beyond establishment of neutral non-discriminatory and merit-hiring policies.

Experience in administering equal opportunity laws over the past years has shown that many discriminatory practices of the past remain so deeply embedded in basic societal institutions that these practices continue to have an unequal effect on certain groups in our population, even when there is no concious effort to discriminate.

Many people' who suffer effects of past and present discrimination are already qualified for better jobs, but continuing barriers throughout employment systems deny them equal opportunity. The major elements of the Department of Education•s Affirmative Action Program will be on the recognition and removal of these barriers, the identification of persons unfairly excluded or held back, and the action enabling them to compete for jobs on an equal basis.

It is important to understand that affirmative action does not mean hiring unqualified persons. Rather, it is a positive action to utilize the large reservoir of untapped human resources and skills among the protected classes. Thus, the effective affirmative action program not only benefits those who have been denied equal employment opportunity in the past, but will so benefit the entire Department.

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lAWS OF MINNESOTA

1978

CHAPTER 708

A bill for an act

."':"

., ·," "':.

relating to the state civil service; requiring a statewide affirmative action program and agency plans; providing for expanding eligible lists so as to include protected group members; amending Minnesota Statutes 1976, Section 43.15.

BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA:

Section 1. Minnesota Statutes 1976, Section 43.15, is

amended to read:

43.15 (AFFIRMATIVE ACTION: DISCRIMINATION FORBIDDEN.)

Subdivision 1. (STATE~IDE AFFIRMATIVE ACTION PROGRAM.) In

order to assure that positions in the state civil service

ar~ equally accessible to all qualified person~, and in

order to eliminate the underutilizadon of qual'ified members

of protected groups, the commissioner of personnel shall

adopt and periodically revise as necessary a statewide

affl~mative action program covering all agencies in the

executive branch. The commissioner shalJ designate a state

director of equal employment opportunity to serve in the ~--------~-~----~---------------------------------------unclassified service and to whom may be delegated the

preparation, revision and implementation of the program.

The statewide program and any revisions thereto shall be

ii

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adopted as rules •.~t Individual agency affirmative action

2 plans adopted pursuant to the statewide program shal J not be

------------------------------~-----------------------------adopted as rules. As used in this section, ••protected

4 group" means a group consisting of females, handicapped

5 persons, or members of the following minorities: Black

6 Hispanic, Asian or Pacific Islander, American Indian or

7 Alaskan native.

8 Subd. 2. (CONTENT OF STATEWIDE PROGRAM.) The statewide

9 affirmative action program shall consist of at least the

10 following: ...

11 (a) a statement of general goals and policies to be ~--~-~--~-------------------------------------------

12 followed in the state civil service in respect to

13 affirmative action;

14 (b) forms, procedures, standards and assumptions to be

15 used by state agencies in the preparation of their agency

16 affirmative action plans;

17 (c) goals ahd timetables which the state clvil seFvlce

18 as a whole wi11 be expected to meet;

19

20

(d) periodic reporting requirements whereby the head of

each agency will be required to report to the governor and

21 the legislature on the implementation of his agency's pian. ------------------------~----------------------------------

Subd. 3. (AGENCY AFFIRI1ATIVE ACTION PLANS.) The head

23 of each agency in the executive branch shall prepare and

24 implement an affirmative action plan consistent. with

25 subdivisions 1 and 2. Prior to implementation, the plan

26 shall be submitted to the commissioner for approval or

27 modification. Annually, or more often if necessary, the

28 plan shall be updated and resubmitted to the commissioner. -~--------------------------------------------------------

29 Subd. 4. (AFFIRMATIVE ACTION OFFICERS.) Within each·

30 agency the agency head shall appoint an affirmative action

31 officer who shall have primary responsibl lity for the

32 administration of the agency's affirmative action plan. To

(

(

..... · .

adopted as rules but Individual agency affirmative action

2 plans adopted pursuant to the statewide program shal I not be

3 adopted as rules. As used in this section, 11 protected

4 group11 means a group consisting of females, handicapped

5 persons, or members of the following minorities: Black

6 Hispanic, Asian or Pacific Islander, American Indian or

7 Alaskan native.

8 Subd. 2. (CONTENT OF STATEWIDE PROGRAH.) The statewide

9 affirmative action program shall consist of at least the

10 fo 11owing: ... 11 (a) a statement of general goals and policies to be

12 followed in the state civil service in respect to

13 affirmative action;

(b) forms, procedures, standards and assumptions to be

15 used by state agencies in the preparation of their agency

16 affirmative. action plans;

17 (c) goals and timetables which the state civil service

18 as a whole will be expected to meet;

19

20

(d) periodic reporting requirements whereby the head of e-----------------~---------------------------------~---

each agency will be required to report to the governor and

21 the 1egislatul·e on the implementation of his agency 1 s plan. ------------------------~----------------------------------

22 Subd. ). (AGENCY AFFIRHATIVE ACTION PLANS.) The head

23 of each agency in the executive branch shall prepare and

24 implement an affirmative action plan consistent. with

25 subdivisions 1 and 2. Prior to Implementation, the plan

26 shall be submitted to the commissioner for approval or

27 modification. Annually or more often if necessaryo the

28 plan shall be updated and resubmitted to the commissioner.

29 Subd, 4. (AFFIRMATIVE ACTION OFFICERS.) Within each

30 agency the agency head sha1J appoint an affirmative action

31 officer who shall have primary responsibility for the

32 administration of the agency's affirmative action plan. To

ii

consistent with complement and budget

7

U STS TO 1>\EET

10 AFFIRI1AT!VE ACTION GOALS.) When the commi

10

PROHIBITED.) No

in

Ugious opinions

Of' di i ity.

August 18v 1978

Mr. Clarence E Harris Commissioner of Personnel Space Center 444

sota 55101

Enclosed is ·the submitted for your the Minnesota Statutes his and i this

You will notice that we cooperation, we have

Affirmative Action Plan Chapter 708 of

of Education's loyment Opportunity

and s in

emp t c manage-

ment respons Because we consider our Affirmative Action Program a 1 concerned with the plan to project programs

entity, we are not only present, but we are s rve our employees best

lated to tate Plan to

i in

practices; which vidual categories employees;

1

3

The Affi ment si defi trolled or

b c

by

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Council

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ssioner

on cer shall i ude

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on

on

6

JANUARY 19 75

Education Data Syl:Ol terns

i?up!.l Tran~port:aC.ion

, FEDERJ\L-STATE

~ PROGRAM COORD.

PUllLTCi\TTONS

EDUCliTION STATISTICS

~-

OFFICE OF ADMIN. SERVICF.S

Fiscal Services

ASSISTANT TO THE COMMISSIONER

M.anagemen't Services

Offire- Services

V-Jord Processing

~-- -------------- ·-------~------·--

OFFICE OF PERSONNEL .t STA..f'F DEVELOPMENT

Program Coordinators

~ ~~:~~;-~:~!~~"

!= t=

Equal Educ11 t.ional Opportunity

Pupil Services

OF

Ot1

ude~ 1

1

Fo ...... .,.. ... K"'"" of those Plan Each 1 i sted in

on i

5

8

4

5.

1 2

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lowi

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7 .. 001

7 .. 001-01

of Education

Internal Procedures

It is of Department of Education to under-take and maintain a program of non-discriminatory affirmative and

To are made on the basis skills and abilities

) To encourage all persons without regard to race color, , national origin, age, marital status, reliance

assistance, disability, sex, and status as a disabled veteran or a veteran of the Vietnam Era, to seek

with the Department of Education State of Hinnesota.,

out this , the Department will act affirma-ensure all personnel activities, including but not

limited to recruitment hiring promotions, compensation, benefits transfers layoffs and return from layoffs, leaves and return from leaves state sponsored in-service training

other conditions of employment \vill be administered ,ll·ithout race color religion~ national origin, sex dis-

tatus, and reliance on public assistance

7 001-02 Definitions

COMPI"'AI'NT

DISCRIHINATION

) CO:t1PLAINAI\fT

E:M:PLOYEE

means of discri:c:dnat

ion" includes any act policy which results in unequal

separation of or tvhich othenvise fects any person

a person f a

r:1eans a person against \Jhom a discrimination has been

Issued

ified unclassified Personnel Laws of the

This term shall include full~time

pre-service trainee ry provi.sion.s.l, unlimited

a.n intermittf--!nt or

7e001-Q4

DEPARTHENT means the Hi_nnesota

(g) AGENCY the Hinnesota

(h) COMHISSIONER means the Commissioner of the Minnesota Department of Educationa

(b)

EO COUNCIL means the Equal Opportunity Council

HEARING "Hearing Chairperson" means the Commissioner QlAIP~ERSON or a of the Commissioner

HEARING RULES Rules" means the procedures which govern a Hearing.

All officials s and employees of the shall respond promptly to any and all

requests by the AA Officer or person designated AA Officer for information and for access to

and records for the purpose of enabling the AA Officer to carry out responsibilities under the

The failure of any such to comply with any

in section to any matter within the scope of official duties shall be reported

Commissioner

within the agency and s least four (4) persons.

be the Comrrrissioner and Opportunity Program

thereto The Council designated date and the

AA Officer shall hold

\\'ldch \vill under the

the

Informal

th~t he/she has been firs~ discuss and attempt

the matter vnth the immediate supervisor$ is not resolved within five (5) days, file formal

(b) Records shall b~ kept by supervisors of all employ~e imformal complaints and the disposition thereo~~

r~cords shall be submi~ted to the AA Officer first day of each monthe

7o001-06 Formal Complai~t Filing

(a) Any employee who believes that he/sh~ has been discriminated may file a complaint with

AA Officer ..

A formal complaint must be filed within t~n (10) the occurrence of tl~ ~ll~g~d discri~~~

AA Of$icer upon receipt of th~ ~omp~aint, s~a~l determine in five days if the matter complained of falls within jurisdi~tion of 4he Interna\

Resolution Procedure. Ip the absen~e pf AA O:f.f ic:er the t~e limit shall b¢ ¥qi ve(i.,

If the matter compla~ned Qf does not fall ~nq~r the of the complaint p~ocedure, the

.. _...,·""ld'·'"""""'~. .... ""~'"'"' will be so notified ..

001-07 Summary of

does fall within tt~ jurisdiction procedure, the AA Officer shall

the complqint to all parties and R~sponde~t. The

Responpent will requiTe an of tqe complaint

of rece~pt the Respondent the within the time this be deemed as a

tim~ the is deemed of the complatnt procedure,

summary of the ~ind~~s together \vith a recomrnendation.. This shall bt; t?Ubmitt:ed to the Personnel Director in order to ascertain complianc;e wtth per~onnel rules and regulations. Within three (3) days of the Director or designee shall return the sqn1e to AA Officer wtth recommendation$ if u.:;;~;;u~~;;:u

11 c

Within ten of the complet~on of the summary process, a conciliation meeting shall be held by the

Officer anq the Respondent

Where no cause is found durtng the ;~vestigatio~, nreeting ~vill be for purpose of ~lanation

and better co~unication.

cause is found by the AA Officer after completion of 7 001~08, the meeting ~dll be

purposes of attempting to resolve ~he problem.

If the problem resolved, a Ccneiliation shall be prepared to be s~~mitt~d Officer for approval~

The ConciliatiQn Agreement spall be by both Complainant and Re~ponqe~t Who will receive copies of the Agreement.

If the matter cannot be resolved by cqnc!lfatioq, the AA Officer ~Till issue a notice of conoiliation

Procedure

to the Complainant the Respondent. may file a written appeal to the

Chairperson requesting a hearing. must be filed within fivr (~) daya

has

personlithin the selection of H~~rt·ing

Th~ are

or desigqee of th~ Commissioner the date time and place

which shall be ~cheduled vr.i.thin procedures will be given to the

Respondent at the time of notification.

ll

or of the Chairperson of

of the EO Council as Hearing Panel

if desired a design~ted repre-

Witnesses for the Complainant and for the Respondent The EO Officer

(V) The Assistant General (8) The AA Officer

by Chairperson to record

If either or Respondent is unable to attend th~ scheduled a WTitten request for rescheduling must be in the hands of the Chairperson five (5) days

the date of the scheduled hearings The Chairperson have the authority to extend the date of. the hearing

upon a for such an extensionm

Within ten (10).

The

7e001-12 Retaliation

Hearing be governed by·

the Appea~ Rearing, the submit findings, rationale, and

to the Personnel Dircc~o!' to rules and regulations ..

hand-delivered mail may absent fro~ the work area or parties V'h"b~~·~~b other than the building

is housed) to the Complainant, Officer the AA Officer,

11 ~

is the final step

for having utilization

Time

SSaa 1-6

If a is not presented or pu~sued under the time limit set within this procedure, it shall be waived ..

The time at each may be extended by mutual of the involved parties or notification 1

~he AA Officer

c Program Objectives

Specific program objectives shall be i tiated by reviewing all personn~l activitie~ and functions~ In order to assess needs the Department shall include tne fo11owi

L. Employee Performance Apprijisal r~view~ to correct inaccurate class fi ons and to ensure that positions are allocated to the appropriate classifica~ion. Plans to insure that all qualifica~ion requirements are closely ~ob relatede Efforts to restructur~ jobs and estqbli~h entry level and traine~ positions to facilitat~ progression within o~cuppt1onal areas .. C;;Areer counseling and guidance to emp1Qyees~~ Creqting career development plans for lower grade ~mployees who are underutiliz~d or who demonstrate potential for advancement .. Widely publicizing up~ard mobility programs and QPPOrtunitie~ wi~hin each work uni'f,: and within ~he totC\1 organj?ationp1 structure~ · I

12

1

3

1

i i ons

DeleQation ment Managers

Enlargement of agency li by ly

expand resume bank

Publi ze resume

gn

on

on

Managers and Supervisors Ongoing

AAO Ongoing

Managers and Supervisors Ongoi

~nd number of protected class

AAO

AAO

design an i

resume

on

Ongoing

January 1, 1979

A. Opjectfve: ; -.

Perio~i~ reviews Qf q~alificption require~ ments to en$4re job~ r~lat~dne~s

I '

Revi~w by request of postion descrip-tions to enf)ure prop~r clpssification

~evie~ E & T scales I.

O~velopment and mainte~ n~nce of an applicant ~ra~king system f~r barnie~ detection

er ~electiqn proces$~

Completion Date

Supervisor;s and Managers/PersonMel Officers

Per$onnel Qf~1ce~

AAO/persannel Officer

AAO/Personnel Aide

Ongping

O~g.oin~

Ongoing

Opgoing

Use of statis cs g~thered from traokina.

Af; Objecl;ive: equal 'basis

A~tipn 1 ~~~E 1~ To identif¥ di

effect~ if c.\ny

2. Tc review compensation and devi$e a uniform method of defining anq qssi~Ming steps in cl~ss1fication for new empl~yees

Eva 1 uati o.n Procedures

new emp 1 o~ees are vYIII!J"-"1 r RUalific~tions.

ignment .~~$pons i bi) i ty

AAO/Personnel Aide

P~rsQnnel Director

Tracking qnq use of ~ark fore~ stat1~tics.

15

on an

Compl on Date

I l I --.

Ongoing

Ongoing

A. Objective: minorities work force

·1, Encourage hirin~ nees

2. Coordinate an~ develop program

3. lnform trainees of avail e ons

n1ng programs for disadvantag~d/ absorb trainees iMto the regular

Assignment of Completipn Res~onsi bi l.i tt Date Commissione~/AAO On~oi"g

AAO Ortgo1og

AAO/Personnel Aid~ Orygoing

Evalu~tion of program will m~de by lra4nees and supqrvisqrs. Success of program dep,en9s on how many tra 1 nees, who wish to r;ork for the , can be absorbed into the work force.

16

awareness ve

Ai

ng Supervisor

3 To ng Supervisor/AAO

AAO

B availabili is utili

sor

Ongoing

Ongoing

Ongoing

Ongoing

to

Completion Date

Ongoi

ons are form do handicapped

AAO/Personnel Aide Ongoing

ems, AAO Ongoing if any

cs

ems us an

1. Ongoing

le AAO/Personnel Ai

AAO

use s cs.

In to assess .Program, Department personnel what is being done and what

1"

whi as

on 30 Reports and 4.. Quarterly lf'Oirii'\'LA'Fe 5 Annual

7

1 ..

lure of the Affirmative Action vely involved in reviewing

11 evaluate the rmative Action

on recruitment ~nd

from the Affirmative Action Committee.

Commissioner, and the employees. on.

requested

on are to:

management in: and problems bearing on equal

to meet and

ons

ons

A

MINNESOTA DEPARTMENT OF EDUCATION

Iv1ANUAL

t:he

Internal Procedure

77

THE PURPOSE OF

ALL INTERNAL

The is des

tance to

who are

MANUAL '3:0 A UNIFORM SYSTEM BY

PROCEDURES WILL BE PROCESSED

and substantial assis-

of Education A~firrnative ~otion

implementing the Internal

Contents

1\JSTRUC DN MANUAL

I Receipt Process A 1

II Pre-Invest tion A 6

III Files A 8

IV Conference With ndent A 10

v Interv ews A 11

VI .. Conducting the nterview A 14

VII .. Interviewing Techniques A 17

VIII Note A 19

IX Compla nt Ccmfere A 21

X Summary A 22

XI Cone liation A 24

XII A 31

XI I aced A

XIV

Form 1

Form 2-b

Form 2

Form 2-a

Fonn 1-a

Form 1-b

Form 3

Form 4

Form 5

Form 6

Form 6-a

Form 8

Form 7

Form 9

Letter

of

of

Inve~ti9ative

Case

of

Statement

Complaint

Concil

Conci1

0 Unsucc:=ess Ef

of

to

" . t

liate&

5

6

8

10

4

24

6

7

8 f

1

34

1 Upon

a

b

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2

a.,

b

a

the

letter

to

the

the

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r the

1

from an outs·tate

to Res

re to

p

l

and

Pro-

(see Form 2) and

DEPl>RTL,l8NT OF EDUCA'l'Io;·~

No.

Nl~BE

CI~!'i.SS/TI':i'LE:

ADIJRE3S:

TELE?HONB-O?FICE:

ROHE

SUPED.VISOR:

DID NOT A'l"I'EHPT 'I'fi.E HJFOlli1Z\L I DID

PROC"EDU~.?. (IF NQT, Gnm REAsom

--~-~-----~-~--------------~---

DISABILI'r.t

AREA:

CCNPENSATION

BENEFITS

L\YOFF I L~:A\7E RE'l'URN (LAYOFF I LE .. l:\VE)

_ T\}ITiqN ASSIS'l' / PROGRJI.NS

j OTHER (PLEl".S.8 SL:;C!FY) :

NATURE OF COi:·1PLAINT (GIVE FULL DET2ULS / DATE(S), TH1E(S), PLACE(S), NlV1E(S) 1 AND TITLEf~, ETC.)

·---------------------------------·-----·----

mcnt of Education

@ lui 5:10 Ced

You are

A

Neither the filing of the ere a tes an.y

In the

11

s to the

have que

No

attached hereto

led by in accordance Educa i:ion I

nor the issuance of correctn~ss of the Comp

of the f for examination. Your

th

te tter

led

B 55101

Your all 0

substantiate your

the

In order that

s

Burt

612-296-0342

t of Educat tol Square, 550 Cedar

SL \1 i nnc~ota 5:1 l firmative

751

been received and

and/or data which

9ubmitted imrn~diately to

the course

the

t.ime executed,

and

d

1 Issues

3 Make to the

4

on

Re

Documentation De

1 Upon

b a

2

b

f under

outstate.

which will contain the

all

outstate complaint

unt~l

Fo~-n1.

j

.II

ls under

1.. COntact

2.,

3

that:

b

1

wi

A

i n

so

to

vs

Name of Interviewee

Address: -------------------w~,~~"~"~~~~=~=--==

Telephone=----------~~----~----------~ :Oate and Time:

4-------~--~-----~----~

Location

Information Obtained:

A 12

EDUCA'riON

OF INTERVIEW

vs

Respondent(s)

NAME: --------~--------~---..

ADDRESS: ----~--~~--~~--

TELEPHONE: ------~~~----

The following are complaint:

I have read the own knowledge,

EDUCATION

S'l'ATEMEN~

File No

known to me relative to the

/A

:Eacts se fo e "

of

.. Framework E

anxie

ques

e

the interview

fact finder ..

Witnesses

tion. 1

determine whether an

of the

out-set to relax the ss

to allow to discu s

the

Attempt to

knows them)

witness has

1 be

ca

to

be

que

corrunents on

us

general terms hi

a

narrative

in his/her ov;n

their s

type response

There are

during

While

s

and

cl

i

in

ew s

·the

1

ll

i

tude be

the

s w 0

ewee ses

t.ion back to the

ar

made to ue

Th aid

is mo

whom

Do not

speci all

1.. Listen Li

feel that the

what

involved

listening

2.. Avoid

in the

gui

3 ..

s

terms,

carry Jche

4. Be

5 ..

------

hos

the witne

they should

t:.o be

hear what

you assume

In

ust the 1

to

Avo

s

The

and

a

note

use

so that

of

of inquiry to accommodate new

sc the

own

7. Cross Examination During cross examination, the witness's

initial narrative is reconstructed in question-and-answer

form. A skillfully conducted cross examination will enable

the investigator to elicit facts omitte~ by the witness

which may have a crucial bearing in the case; bring to

order to the unstructured ~ecitation.of {qcts which many

witnesses present in their initial narratives; place in

p~rspeqtive all information obtained du~ing t~e interview;

and, complete the story.

A 18

VIII

Note-Taking

The information gathered duri?g an interview will be used as a

basis for conducting further questioning and ~nformation

gathering, preparing written interviews, and the investigative

summary. Thus, it is important for such information to be

pccurately r~corded by ~ means of an orderiy, effective note-

taki~~ system. Each interview should be written ~p as soon

as possible, and included as part of the evidence which will

be part of the complaint file ..

Notes should be taken during the ~ctual ~nterview session. Do

not rely on memory to record information fo~lowing the inter-

view. Accu~acy and thoroughness is important. Even though,

notes must be taken, reme~er good eye contact with the witneqs

plu~ attention and interest in what the witness is saying, are

the elements which will_ govern how the interview progresses

and how much information is given

- Purpose Notes are important because memory ~s a poor

tool. Employme~t operations of employment systems are

too complex, and the kind of facts whi9h must be found,

analyzed, and presented are too intricate to rely on

memory ..

-Witness' Objection t~ Note-Taking Most witnesses will

look upon note-taking as an assurance that the investi-

gator is interested in obtaining an accurate record.

A 19

- Note Labeling On the top of th~ first p~ge of the notes,

enter the date; the page number; and complete name,

a~dress and phone number of the ~erson interviewed. On

~ach succeeding page, there should be an indication of

the witness' name and the page number,

- C~oss Reference and Marginal Notes One important aspect

of.note-taking is the ma~ginal notation which will be

utilized in structuring an outline, cross-referencing

informatio~, and as a reminder of something that requi~es

further attention.

A ~eminder symbol can be a very effect~ve note-taking

technique e.g., a small box or circle in· the margin. A

box could represent something to check before ending the

~nterview. At the close of the ~nterv~ew, go back ove+

nqtes dealing with items next to boxe$ and check them

o one-by-oneo Points which would not require coverage

at the time of the interview but which must be looked

into before the investigation is completed could be

indicated by a circle. Then, each time another witness

is interviewed, go through the notes to see which of

the circled items pertains to that witness.

- Develop Shorthan~ An important skill to develop in

accurate note-taking is a personal form of shorthand, epg.,

initials of commonly repeated items may be used--such as

eP for Charging

A 20

IX

fomp~~inant tonference

1. Up~~ .co~plation of all inf9rmation gathering and data

CQllection, the information snould be checked against the

~ssue~ and $Cope of inv~stigatio~ developed in the pre-

tnve$ti~at~o~ pl~n.

2, ~ne Gomp~a+nan~ shall be contacted to Glartfy any questions

whi~h have ari~en and to reqpond ~o a~y new claims or

~~fqrmation,

3~ No ~eqi~~on pr indipation of a decision should be communi-

c~teQ, but th~ proc~ss that the pepartment will use in the

~vent of ' probable cause d~cision should be explained.

A 21

X

Summary

Upon completion of the investigation wit~in ten (10) days from

the time the complaint is deemed to fall within the jurisdic-

tion of the Internal Complaint Resolution Procedure_, the Affirma-

tive Action Offiqer who invest~gated the complqint shall pre-

pare a summary (see form 5) of the findings together with a

recommendation. (If the complaint is outstate, the Residential

School Affirmative Action Officer shall submit the summary

directly'to the Affirmative Action Of!icer.)

A 22

M~N~ESOTA DEPART~ENT OF EOPCATIO~

COMPLAINT SUMMA~Y

Bf\_SIS

r u.Lm :J

AREA FlLE NUMBER ~----~---------~---- ------------

CHARGE:

RESPONSE;

FINDING QF INVES~IGATION:

R~COMMENDATION:

A 23

XI

Conciliation

Prior to a conciliation meeting, the Department Affirmative

Action Officer shall send a Determination notice (see form 6)

t9 the Complainant, the Respondent ~nd the Residential School

Affirmative Action Officer if applicable.·

1. Within ten (10) days of the compl~tion of the summary

process, a Conciliation Meeting Notice (see farm 6-a) shall

be sent to the Complainant and the Respondent subsequent

to th~ conciliation meeting shall be held by the Affirma-

tive Action Officer with the Complain~nt and the Respondent.

a. Where no cause is found, the meeting shall be for

purpose of explanation and to effectuate better com-

munications between the parties. A written ~ummary

of the meeting will be prepared by the Affirmative

Action Officer.

(1. !f the meeting is outstate, the Residential School

Affirmative Action Officer shall submit the summary

of the meeting to the Department Affirmative Action

Officer.

b. Where cause is found, the meeting shall be for purpose

of attempting to resolve the problem.

(~. If the conciliation is successful, a Conciliation

Agreement (see form 8) shall be prepareq and sub-

mitted to the Equal Opportunity Officer for approval.

(a. If the conciliation meeti~g is outstate, the

Conciliation Agreement shall be submitted

to the Department Affirmative Action Officer.

A 24

Form 6

MINNESOTA DEPARTMENT OF EDUCATION

File No. Complainant

vs

Responden~' I I

QETERMINATION

Under the author~ty invested in me b¥ Sectipn 7.0001-09 of the

Minnesota Department of Edtication Int~rnal Complaint Resolution

Procedu~e9, X is~ue on qehalf of the Department, the following deter-

m~nation as to the merits of the subj~ct charge,

aaving examined the investigation findings and the supporting

data, I b~lieve that there (is) (is not) $ubstance to the allega-

tions of disc~imination.

You are requested to attend a conciliation mgeting with the

Affirmative Action Officet. Within ten (10) days, you will receive

notification of the date, time, and place of the meetings

Date Kay Burt Affirmative Action Officer

A 25

Form 6-a MINNESOTA DEPARTMENT OF EDUCATION

file No .. Date

CONCILIATION MEETING NOTICE

The Conciliation ~eeting for the above case will be held on

at .M. &t ~0-a~t-e----------~--------- Time =pT1~a-c-e--------~------

Date·

If you have any questions, cont~ct the ~f!i~mative Action Office.

Moderator/Affirmative Action Officer

Form 6a MINNESOTA DEPARTMENT OF EDUCATlON

File No.

CONCILIATION MEETING NOTICE

The Conciliation Meeting for the above case wi~~ be held on

at .. M .. at Place

If you have. any questions, contact the Affirmative Action Office.

Moderator/Affirmative Action Officer A 26

MINNESOTA DEPARTMENT Of EOUCA~ION

CONCILIATION AGREEMENT

File No.

In the Matter of:

M~nnesptq Dep~rtment of Education

Complainant

A qomplaint having been filed under Se~tio~ 7-0QOl of the Minnesota

Department of Education Internal Complai~~ Resolution Procedures,

the parties ~esQlve and conciliate t~i$ m~tt~r as follows:

A 27

1. The Complainant he~eby ~gree~ and covenant~ to take no further

legal action ~gainst the Respondent with ~espect to any matters

which wer~ or might have been alleged as charge$ filed with the

Affirmative Action Officer, subject to performance by the Respon-

dent of tbe p~omises and representation contained herein. The

Equal Opportunity Officer shall determine whether the Respondent

has complied with the t~rms of this agreem~nt.

#. This ~greement shall have the same fore~ and effect qS a final

order of ~he Minnesota Department of Equca~ion Equal Opportunity

Council follow~ng an App~al Heari~g.

#. It is understood that nothi~g in this agreemept shall be construed

to be an admission by Respondent of any violatib~.

Signatures:

I have read the foregoing Conciliation Agreement and I accept and

agree to the provisions contained herein:

Complainant

Respondent

Approv~d:

Equal Opportun~ty Officer Minne~ota Department of Education

A 28

Date

Date

Date

(ba I~ the Conciliation ~greement is approved,

the Affirmative Action Officer shall have

bot~ the Complainant and Respondent sign

tl)e 9-ocument.

(2e If the conciliation is unsuccessful, a R~port

of U~successful Effort to Conciliate (see form 7)

sqall be prepared.

(a. If the concil~~tion meeting was outstate,·

th~ repprt sh~ll be submitted to the Department

Affipmative Action Officer.

A 29

complaina:q.t(s)

Respondent (s) .

Form 7

MINNESOTA DEPARTMEN~ OF EDUCATION

\fS

REPORT OF UNSUCCESSFUL EFfORT TO CONCILIATE

File No.

Following a 9etermination that prob

XII

Appeals

1. If conc~liation fails, the Affirmative Action Officer shall

inform all parties of their right to appeal.

2, If either party wishes to appeal, the Affirmative ~Gtion

Officer may assist with the written appeal wh~ch must be

filed with the Equal Opportunity Chairperson/Commissioner

within five (5) days after ConGiliation has failed.

A 31

XIII

Bearing Proced~re

Upon appeal, the Commi$sion~r shall send a Notice of Hearing

(see form 9) and the ije~ri~g Procedure to both the Complainant

anq the R~$pondent.

If the complaint brigin was outstate, the Residential School

Affir.mativ~ Action Officer may attend the Heari~g.

A 32

.trorm :~

MINNESOTA DEPARTMENT OF EDUCATION

Co;mplainant(s)

vs

NOTICE OF HEARING

File No. Respondent(s)

You are hereby notified that pursuant to Section 7.0001 of the

Minne~ota Department of Education ~nternal Complaint Resolution

Procedures, the above entitled matter wi~l be heard before a duly

designated Hearing Committee of the Department Equal Opportunity

Council on , at o'clock .M .. --------------------------- --------.... at

------~--~------------------------------------------------------------' St. Paul, Minnesota.

As provided in said Procedures·, each of the parties hereto shall

appear at said time and place and then and there present evidence and

arguments bearing upon the allegations of the complainant herein.

Hearing Panel:

A 33

Minnesota Department of Education Equal Opportunity Council By: Chairperson of Council

XIV

Time Limitations

If an outstate complaint cannot be presented or pursued within

the time limits set in the Internal Complaint Resolution Pro-

cedures, the Residential School Affirrnativ~ Action Officer

shall notify the Department Affirmative Action Officer and may

request a time extension.

A 34

Applicable Laws and Orders

Table of Contents

APRLICABLE LAWS AND ORDERS

Title VII .. .. I" • . .. .. .. .. " ,. .. .. .. .. .. • .. .. .. .. .. • 8 1 Executive Order 11246 .. .. .. . • .. . . 8 2 Title IX. .. ..

" .. "' .. .. .. .. .. .. .. .. 8 3

The Equal Pay Ac~ .. .. " .. .. .. .. .. • .. .. . • .. 8 4

of the Public Health Servi,ce Act .. . .. . . .. .. .. • .. .. 8 5 VI. Title VI .. " .. " .. .. "' .. .. .. .. .. " " . 8 6

VII .. Age Discrimination .. .. .. .. .. .. .. .. .. .. " 8 6

VIII. Exe~utive Order 11141 .. .. .. .. 8 7

IX .. Section 504 of the Rehabilitation Act .. "' .. 8 7

x. Minnesota Human Rights Act .. .. .. .. 8 9

XI .. Additions .. "' .. .. .. " .. .. .. "' .. .. • .. .. . .. 8 10 1. Fourteenth Amendment .. .. .. .. .. .. .. .. .. .. 8 10

2. Civil Rights Act of 1866 . .. .. 8 10 3 .. Civil Rights Act of 1871 .. .. . .. .. 8 10

~plicable Laws and Orders

1. Title VII of the Civil Rights Act of 1964 (as amended by

the Equal Employment Opportunity Act of 1972 - commonly

known as EEO~.)

This law was passed March 24, 1972 (July 1965 for non-profes-

sional workers). All institutions with 15 or more employees

are cove~ep by this law. Prohibitions are discrimination in

employment which ~ncludes hiring, upgrading, salaries, fringe

benefits, training, and other conditions of employment based

on race, color, religion, national origin or sex. All em-

ployees are covered. Exemptions from coverage are religion,

aex or national origin if it is a bona fide occupational

quality.

The law is enforced by the Equal Employment Opportunity Commis-

sion and one may make a complaint from within 180 days of the

alleged act of discrimination or within 300 days of filing with

a local or state civil rights agency. The Commission does not

investigate without a signed notarized complaint. If probable

cause is determined, and conciliation fails, EEOC or the

Attorney General may file suits. Aggrieved individuals may

file suits in court ..

B 1

The Courts may enjoin the employer from engaging in unlawful

behavior, order appropriate affirmation action, reinstate-

ment of employees and award back pay up to 2 years prior to

filing the charge with EEOC. Affirmative Action is not

required unless charges have been filed and it is included

in the conciliation agreement or ordered by court. Labor

organizations are covered by the law, also. Harassment is

prohibite~ in tha~ institutions are in violation of the law

if they discharge or discriminate ~gainst any employee or

applicant because they have made a complaint, assisted with

an investigation or initiated proceedi~gs. The Respondent

institution is notified there is a complaint within 10 days.

2. Executive Order 11246

The order became official on October 13, 1968 and covers all

institutions with federal contracts over $10,000o It covers

discrimination in employment including hiri~g, upgrading,

salaries, fringe benefits, training, and other conditions

of employment based on race, color, religion, national origin

or sex and covers all employees. There are no exemptions in

coverageo The Office of Federal Contract Compliance (OFCC)

of the Department of Labor has policy responsibility and over-

sees federal agency enforcement programs. OFCC has designated

HEW as the Compliance Agency responsible for enforcement for

all contracts with educational institutions.

B 2

A complaint may be made by letter to the OFCC or the

Secretary of HEW within 180 days of the alleged violation.

The government can conduct periodic reviews without a re-

ported violation, and pre-award reviews are mandatory for

contracts over $1,000,000. Sanctions can delay new

contracts, revoke current contracts and debar institutions

from future contracts. HEW will seek back pay only for

employees who were not previously protected by other laws

allowing bqck pay. Affirmative action plans including

numerical goals and timetables are required of all con-

tractors with contracts. of $50,000 or more and 50 or more

employees. Any agreement the contractor has with a labor

union may not be in conflict with the contractors affirma-

tive action commitment. Iqstitutions are prohibited from

d~scharging or discriminating against any employee or appli-

cant for employment because they made a complaint, assisted

with a~ investigation, or instituted proceedings.

3. Title IX of the Education Amendments of 1972

Title IX was enacted on July 1, 1972 with admission provisions

effective July 1, 1973. The amendment covers all institu-

tions receiving federal monies by way of a grant, loan, or

contract (other than a contract of insurance or guarantee) .

lt prohibits discrimination against students or employees

based on sex. Religious institutions are exempt if the

application of the anti-discrimination provisions are not

B 3

4

consistent with the religious levels of such organizations.

Military schools are exempt if their primary purpose is to

train individuals for the military service of the U.S. or

the Merchant Marine Discrimination in admissions is pro-

hibited in vocational institutions (including vocational

high schools), graduate and professional institutions, and

public undergraduate coeducational institutions. Complaints

may be made by letter to HEW's office for Civil Rights,

regional office or Washington, D.C.

Investigations can be made withoQt a complaint. Sanctions

are that government may delay new awards, revoke current

and debar institutions from future awards. The

Department of Justice may also bring suit at HEW's request.

Affirmative Action may be required after discrimination is

found

ments of 1972 Education Act) .

The Equal

enactment

Act was enacted July 1, 1972. The June 1964

only non-professional workers. All

employees are now covered This law covers discrimination

in salaries t all fringe benefits based on sex.

There are no and it is enforced by the Wage and

Hour Division of the Employment Standards Administration of

the Department of

4

A complaint can be made by letter, telephone call or in

person to the nearest federal Wage and Hour Division

Office. Back pay awards are limited to 2 years for a non-

willful violation and 3 years for a willful violation.

Investigations may be made without a complaint.

If voluntary compliance fails, the Secretary of Labor may

file suit. Aggrieved individuals may initiate suits when

the Department of Labor has not done so. The court may

order salary raises, back pay and assess interest. Affirma-

tive action is not required and there is a retaliation clause.

The complaint procedure is informal and the employer under

review may not know that a co.mplaint has been made ..

5. Title VII (Section 799A) and Title VIII (Section 845) of the

Pub~ic Health.Service Act, as amended by the Comprehensive

Health Manpower Act and the Nurse Training Amendment Act of

1971 ..

This was enacted November 18, 1971. It covers all institu-

tions receiving or benefiting from a grant loan guarantee or

interest subsiding to health personnel training programs or

receiving a contract under Title VII or VIII of the Public

Service Act. The Act covers discrimination in admission of

students on the basis of sex and employees working directly

with applicants or students in the program. There are no

exemptions and HEW's Office for Civil ~ights (Division of

B 5

Higher Education) conducts the reviews and investigations.

Investigations may be made without a complaint@ Affirma-

tive Action may be required after a violation is found and

there is ~ retaliation clause.

6. Title VI ot the Civil Rights Act of 1964.

Title VI covers all federally assisted programs in the area

where the primary objective of federal aid is to provide em-

ployment based on race, color and national origin. The

exemption is employment practices not specified as the

primary objective of federal aid to provide employment. The

complaint may be made within 180 days of the alleged viola-

tion to the Secretary of HEW. Investigations may be made

without a complaint and retaliation is prohibited. If there

is no compliance after a viol~tion is found, the matter may

be referred to the Justice Department for Court proceedings.

7. Age Discrimination in Employment Act of 1967.

The Act covers all institutions with 25 or more employees

covering discrimination in employment between the ages of 40

to 6S. Exemptions are based on bona fide occupational quali-

fications. Retirement, pension or insurance plans and seniority

systems may qualify for exemption if they are established

in good faith with no attempt to evade the law. Such plans

will not excuse failure to hire because of age. Complaints

B 6

may be made to the Wage and Hour Division of the Depart-

ment of Labor by letter or telephone call to the nearest

'divisional office. If one intends to sue, a written com-

plaint must be made within 180 days of the alleged viola-

tion and back pay awards only go back 2 years.

8. Executive Order 11141.

This order is for contractors and subcontractors doing busi-

ness with the federal government and covers discrimination

based on age. Th~ enforcement agency is General Services

Administration and there are no exemptions.

9. Section 504 of the Rehabilitation Act was passed by Congress

in 1973 ..

Section 504 states that: "No otherwise qualified handicapped

individual in the United States ..... shall, solely by reason

of his handicap, be excluded from the participation in, be

denied the benefit of, or be subjected to discrimination

under any ~rogram or activity receiving Federal financial

assistance .. "

In Apri~ 1977, a final Section 504 regulation was issued for

al+ recipients of funds from HEW.

The term handicap includes such conditions as speech,

hearing, visual and orthopedic impairments, cerebral palsy,

B 7

epilepsy, muscular dystrophy, multiple sclerosis, cancer,

·diabetes, heart dise~se, mental retardation, emotional

illness, specific learning disabilities such as perceptual

handicaps, dyslexia, minimal brain dysfunction and develop-

mental aphasia, and aloohol and drug addiction.

Important Dates for Section 504 Compliance

April 28, 1977

May 4, 1977

June 3, 1977

July 5, 1977

August 2, 1977

Final regulation signed by HEW Secretary

Joseph A. Califano Jr.

Final regulation published in the

Federal Register.

Regulation in effect.

Deadline for return of Assurance of

Compliance (Form HEW 641) from all

institutions receiving financial assis-

tance from HEW.

Deadline for programs or activities in

existing facilities to be made accessi-

ble (where structur~l changes are not

required)

September 2, 1977 HEW fund recipients that employ 15 or

more employees shall, by this date,

make initial notification that they do

not discriminate on the basis of handi-

cap.

B 8

December 2, 1977

June 2, 1978

In the event that structural changes

in existing facilities are necessary

to make program accessible, recipients

shall, by this date, develop a transi-

tion plan outlining the steps needed to

complete these changes.

Deadline for HEW recipients to complete

a self-evaluation process in consulta-

tion with handicapped individuals and

organizations.

September 1, 1978 Deadline for public elementary and

June 2, 1980

secondary schools to provide to each

qualified handicapped student a free

appropriate education.

Deadline for structural changes to be

made in existing facilities where

necessary to achieve program accessi-

bility.

Any person who has a complaint that discrimination on the

basis of physical or mental handicap exist in any program

funded by HEW may notify the Office for Civil Rights,

Department of Heal-th, Educat~on and Welfare, Washington,

D.C. 20201.

10. Minnesota Human Rights Act (as amended, effective August 1,

1977)

The State Act covers all aspects of employment, based on

race, color, age, creed, religion, national origin, sex,

B 9

marital status, status with regard to public assistance,

or disability, except when based on a bona fide occupa-

tional qualification The complaint is made on an

official form (one is encouraged to go into the Office

but a form will be mailed) within 6 months of the alleged

violation. Remedies for a violation must parallel those

of Title VII as the department is a 706 Agency and area

charges filed with EEOC will be deferred to the depart-

ment of Human Rights for investigation. There is a

retaliation clause.

When filing a charge at the state level, one may file a

simultaneous charge with EEOC.

11. In addition, there are:

a. The Fourteenth Amendment ,to the U.S. Constitution which

forbids denial of equal protection of the laws.

b. The Civil Rights Act of 1866 which has purview over

private and public acts of discrimination based on color.

c. Civil s Act of 18 which prescribes racial

discrimination under color of state law.

B 10