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
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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
(
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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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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
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Fo ...... .,.. ... K"'"" of those Plan Each 1 i sted in
on i
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The 11 :
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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
c ..
2
a.,
b
a
the
letter
to
the
the
l)
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
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