# Presentation: 411145

## Methods of AdministrationMOA Element 6

- Data and Information Collection and Maintenance

## Agenda

**Presentation:** 	Learning Objectives
**Presentation:** 	Data and Information Collection and 	Maintenance requirements under WIA
**Activity:**	Using Data Analysis to Determine 	Adverse 	Impact and the 80% or 4/5ths 	Rule
**Presentation**: 	Documentation of Data and 	Information Collection and 	Maintenance
**Presentation:** 	State’s Implementation of Data and 	Information Collection and 	Maintenance requirements

## Learning Objectives

- Describe the federal requirements for the collection, maintenance, and retrieval of required data
- Describe how the state guarantees that Data and Information Collection and Maintenance requirements will be met
- Determine whether or not the system and formats in which records are kept follow procedures prescribed by the CRC Director
- Identify documentation that is acceptable to demonstrate that Data and Information Collection and Maintenance regulations are being implemented

## Key Requirements for Data & Information Collection and Maintenance

- Collect and maintain data in a system that allows for statistical/quantifiable analysis
- Provide regulatory and discretionary information to the Director of CRC upon request
- Maintain data collected in a confidential manner

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System

- Each recipient must have established a data collection and maintenance system that allows for a statistical/quantifiable analysis of the recipient’s compliance with WIA equal opportunity policy (29 CFR 37.37).

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

**Why must data be collected?**
- Monitor the recipient’s equal opportunity performance
- Identify instances or areas of discrimination
- Identify individuals or groups who have been discriminated against

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

**About whom must data be collected?**
- Applicants
- Registrants
- Eligible applicants/registrants
- Participants
- Terminees
- Employees
- Applicants for employment

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

**What data must be collected?**
**Demographic information including:**
**Race/ethnicity**
**Sex**
**Age**
**Disability status, where known**

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

**Two requirements regarding the collection of race/ethnicity data:**
- Information about race/ethnicity should be kept separate from the individual record about each person to protect confidentiality.
- The record-keeping system must use the designations approved by the Office of Management and Budget to identify race/ethnicity of applicants, participants, and terminees.

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

- Race
- Religion
- National origin
- Sex
- Color
- Age

- Disability
- Political affiliation or belief
- Citizenship
- WIA participation

**Complaint Log Records**
- The information collected in a Complaint Log records all complaints filed alleging discrimination on the grounds of:

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

**Each complaint in the Complaint Log should include the following information:**
- Name and address of complainant
- Ground or basis of complaint
- Description of the complaint
- Date the complaint was filed
- Disposition of complaint and date of issuance
- Any other pertinent information

## Key Requirement #1:  Ensure a Properly Functioning Data Collection System (cont.)

**How long must data be maintained?**
- No less than 3 years from the close of the applicable program year
- The Complaint Log, and actions taken regarding the complaints, must be maintained for 3 years from the date of resolution of the complaint.

## Key Requirement #2: Provide Information to CRC Director

- Recipients must collect the required data and provide them to the Director of the CRC upon request. (29 CFR 37.37).

## Key Requirement #2: Provide Information to CRC Director (cont.)

**Specific information required**
- Notify CRC Director promptly if administrative action or lawsuit is filed alleging discrimination on prohibited grounds
- In a timely manner, provide CRC Director with the name of federal agency that, up to two years before the WIA application was filed, conducted an investigation and found applicant or recipient in noncompliance with civil rights procedures

## Term to Know - Beneficiary

- Individual(s) intended by Congress to receive aid, benefits, services, or training from a recipient.

**Term to Know - Beneficiary**

**6-**

## Key Requirement #2: Provide Information to CRC Director (cont.)

**May require timely submission of:**
- Information & data needed to investigate  complaints & conduct compliance reviews
- One-time information or periodic reports from recipients to determine compliance
- Information to determine whether a grant  applicant would be able to comply with nondiscrimination & EO policy

## Key Requirement #2: Provide Information to CRC Director (cont.)

**Director must be given access, during normal business hours, to:**
- Operational premises
- Employees and participants who are on the premises during a complaint investigation or compliance review

## Key Requirement #2: Provide Information to CRC Director (cont.)

- The CRC Director may require information in the possession of another entity (agency, institution, or person).
- If entity refuses, the applicant or recipient must provide the following in writing:
**Name and address of the entity that has possession of the information**
**A description of the specific efforts made to obtain the information**

## Key Requirement #2: Provide Information to CRC Director (cont.)

**Note:**
**Asserted considerations of privacy**
**or confidentiality are not a basis for**
**withholding information from CRC**
**and will not bar CRC from evaluating**
**or seeking to enforce compliance.**

## How do you know if the information that is requested is available in the recipient’s data collection system?

**Question**

**6-**

## Key Requirement #3: Maintain Data in a Confidential Manner

- Implementing regulation 29 CFR 37.37 requires that data collected be maintained in a confidential manner.

## Key Requirement #3: Maintain Data in a Confidential Manner (cont.)

- Grant applicants and recipients are responsible.
- Records, particularly medical info, should be stored to ensure confidentiality.
- Only appropriate staff should have access.
- Identity of complainants or info providers must be kept confidential.
- If it is necessary to disclose identity, complainants must be protected from retaliation.
- Sanctions and penalties may be imposed against recipients that engage in retaliation or fail to prevent it.

## A recipient must not retaliate, intimidate, discharge, threaten, coerce, or discriminate against any individual because he or she has:
Filed a complaint
Opposed a practice prohibited by WIA’s nondiscrimination and equal opportunity provisions
Furnished information to, or assisted or participated in any manner in, an investigation or review hearing

**Filed a complaint**
**Opposed a practice prohibited by WIA’s nondiscrimination and equal opportunity provisions**
**Furnished information to, or assisted or participated in any manner in, an investigation or review hearing**

**Term to Know - **
**Prohibition of Retaliation**

**6-**

## When visiting a recipient’s site, what might you observe that would indicate that record confidentiality is at risk?

**Question**

**6-**

## Activity:  Analyzing Data toDetermine Adverse Impact

**Purpose:**
- Determine adverse impact by applying the 80% rule
**Task:**
- As a member of the CRC Review Team, you’ve been asked to analyze the data from the Declaration City One-Stop Center to determine adverse impact.
- Review the basic concepts of discrimination law in the “Introduction” section of your Participant Guide.
- Carefully read pages 6-13 to 6-17 of your Participant Guide.
- Calculate the answers for each example.
- Share your findings with the class.
**Time:**
- 10 minutes

## A substantially different rate of selection, in hiring, promotion, or other employment decision that works to the disadvantage of members of a race, sex, or ethnic group.
If a group’s rate of selection is less than 80% of the most favored group, the group is experiencing adverse impact.  (Note: At this point, this does not  mean discrimination.)

- If a group’s rate of selection is less than 80% of the most favored group, the group is experiencing adverse impact.  (**Note:** At this point, this does not  mean discrimination.)

**Term to Know - Adverse Impact**

**6-**

## Determining Adverse Impact:Four Steps

- Calculate the rate of selection for each race/sex group by dividing the number of persons selected from a group by the number of applicants – or candidates – from that group.

## Determining Adverse Impact:Four Steps (cont.)

- Determine which group is experiencing the most advantageous rate:
- For positive personnel transactions *(e.g*., hiring), the most favored group has the highest rate.
- For negative personnel transactions *(e.g.,* termination)*,* the most favored group has the lowest rate.

## Determining Adverse Impact:Four Steps (cont.)

- Calculate the impact ratio by comparing the selection rate for each group with that of the most favored group.  Multiply this result by 100 to express the result as a percentage.
- For positive actions, place the most favored group’s rate in the denominator position.
- For negative actions, place the most favored group’s rate in the numerator position.

## Determining Adverse Impact:Four Steps (cont.)

- Observe whether the resulting ratio for any group is less than .8 regardless of whether it is a positive or negative transaction – this indicates adverse impact.
- Using this technique, the ratio will always be 1 or less.

## Determining Adverse Impact:Example 1

- Calculate the selection rate for each group.
- 		**Men****	****	**_**100**_**	****=****	****.33**
**	****	****	****	****300**
**	****	****Woman****	**_**20 **_** ****	****=****	****.20**
**	****	****	****	****100 **

## Determining Adverse Impact:Example 1 (cont.)

- Determine which group has the most advantageous selection rate.
**.33 is higher than .20**
- 	Therefore, men have the more advantageous rate.

## Determining Adverse Impact:Example 1 (cont.)

- Calculate the impact ratio by comparing the selection rates for the two groups.  Since selection is a positive action, the most favored group’s rate is the denominator (the bottom).
- 			_**.20**_**	****=    .6**
**	****	****	****.33**

## Determining Adverse Impact:Example 1 (cont.)

- Observe whether the impact ratio is less than .8.
**.6 is less than .8**
**	**
**Therefore,**
**adverse impact is indicated.**

## Determining Adverse Impact:Example 2

- Calculate the termination rate for each group.

| White | Black | Hispanic | Native Amer. |
| --- | --- | --- | --- |
| 10 =	.10
100
 | 20 =	.33
60
 | 10 =	.50
 20
 |  2 = .20
     10
 |

## Determining Adverse Impact:Example 2 (cont.)

- Determine the group with the most advantageous termination rate.
**	****	****	****	**

| 

.10  Whites 
.33  Blacks
.50  Hispanics
.20  Native Am
 | 
NOTE:
Since a termination is a negative transaction,
the most favored group has the lowest rate –
in this case, Whites. |
| --- | --- |

## Determining Adverse Impact:Example 2 (cont.)

- Calculate the impact ratio by comparing the termination rates for each group with that for the most favored group.  Since this is a negative action, the most favored group’s rate is numerator (the top).

| White | Black | Hispanic | Native Amer. |
| --- | --- | --- | --- |
| .10
 | .10 =	.3
 .33
 | .10 =	.2
  .50
 | .10 = .50
    .20
 |

## Determining Adverse Impact:Example 2 (cont.)

- Observe whether the impact ratio is less than .8.

| 

.3  Blacks
.2  Hispanics
.5  Native Am
 | 
NOTE:
All of these impact ratios are less than .8
Therefore, adverse impact is indicated against Blacks, Hispanics, and Native Americans |
| --- | --- |

## Supporting Documentation:Data Collection and Maintenance

**Instructions to the recipient regarding information collection and access, and maintenance of records**
**Samples of policy issuances that discuss confidentiality of demographic information**
**Samples of reports regarding demographic information**
**Copies of the procedures used to ensure confidentiality of demographic information **
**Samples of formats and instructions, in hard copy and electronic file forms, of the Complaint Log**

## State’s Implementation of Data    Collection & Maintenance Requirements

- Policy communications and directives to LWIA’s that instruct recipients on how to comply with Data and Information Collection and Maintenance requirements
- Procedures and systems that support the implementation of Data and Information Collection and Maintenance
- Additional MOA requirements imposed by the state to implement Data and Information Collection and Maintenance requirements

## Methods of AdministrationMOA Element 6

- Data and Information Collection and Maintenance