A Model for Conducting Internal Compliance Reviews

By Julie N. Middleton, Ph.D.

University of Missouri Extension

National Extension & Research

Administrative Officers’ Conference

May 25, 2011

Anchorage, AK

Federal law requires periodic reviews of offices to ensure that they are in compliance with Civil Rights laws and regulations.

The Missouri Model

• Internal Civil Rights Compliance Review consists of three parts on a three-year cycle:

On-site review by Regional Director

On-site review by the AA/EEO Officer in conjunction with the Regional Director

Reviews of State Program Director offices

Role of the AA/EEO Officer

• Provide leadership for reviewing each county every three years at a central location.

• Review and sign all Civil Rights files.• Provide necessary training and updates

(fragrance free, sexual harassment, accurate reporting, diversifying the council, statewide programming summary, inclusive workplace).

Role of Regional Director

• Program participation data• Public notification requirements

– “Justice for All” poster, brochures and news releases, non-discrimination statement, program complaint poster

• Complaint procedures• ADA self-assessment

See the Regional Director Internal Compliance Review Form at:

http://extension.missouri.edu/staff/EEO/RDICRForm.doc

Role of County Faculty and Staff

• Ensure familiarity with the office Civil Rights laws and their implications.

• Update Affirmative Action plan and report each year.• Focus on methods of conducting “all reasonable

efforts” to reach underserved audiences.• Ensure accessibility of all programs.• Provide pertinent information to the Civil Rights file.• Participate in the internal compliance review as

requested.

Role of the County Program Director

• Provide leadership in the county for gathering the Affirmative Action plans and running reports.

• Ensure that Civil Rights file is complete and that all personnel have contributed to and reviewed the file.

• Attend one-day regional review with Regional Director and AA/EEO Officer.

• Sign the Notification of Review Form.

Role of the Statewide Program Director

Ensure that the Civil Rights file is complete and that all state personnel

in the program area are familiar with the file and its contents

Work with AA/EEO Officer to schedule internal compliance

review every three years

On-site Visit by RD

Internal Civil Rights Compliance ReviewOn-site Visit By Regional Director

County: __________________ Date: __________Role of the Regional Director in the On-Site Visit

Comments

Specialists accurately collect and report minority program participation data using the planning and reporting system.

Specialists complete annual Affirmative Action planning.

Specialists describe and make “all reasonable efforts” to reach underserved audiences.

Specialists make all programs accessible. Specialists provide pertinent information to the Civil Rights file. Specialists participate in the internal compliance review as

requested.

Verify that all public notification requirements are being met. The “Justice for All” poster is displayed. All brochures and news releases are reviewed for the non-

discrimination statement, with attention focused upon stereotyping or discrimination in newsletters.

Mailing lists are coded for gender and ethnicity.

The Specialist displays the client program complaint process during each program (http://extension.missouri.edu/staff/EEO/CRForms.html)

Each Specialist is knowledgeable about the discrimination complaint procedure: http://extension.missouri.edu/staff/EEO/complaint.html

All Specialists have an understanding of “all reasonable efforts.”

Office staff are familiar with Civil Rights file and Civil Rights responsibilities.

The Council Chair works to carry out Civil Rights responsibilities.

The self-assessment has been completed, and where there is limited accessibility, there is a plan for ensuring program accessibility.

White Black Am. Indian or AK Native

Hispanic Asian or Pacific Islander

Totals Male Female

•County personnel (faculty, staff, & county secretaries) by race & gender

•County demographics by race & gender

Comments or strategies for continuation and improvement:

White Black Am. Indian or AK Native

Hispanic Asian or Pacific Islander

Totals Male Female

On-site Visit by AA Director

County: __________________ Date: __________

FILES - LAWS, REGULATIONS, RULES, PRONOUNCEMENTS

Check when included.Comments

1. Summary of EEO Policies & Laws – http://extension.missouri.edu/staff/EEO/laws.html

2. The Civil Rights Act of 1964 - http://www.ourdocuments.gov/print_friendly.php?flash=true&page=transcript&doc=97&title=Transcript+of+Civil+Rights+Act+(1964)

3. Title VI of the Civil Rights Act of 1964 - http://www.ourdocuments.gov/print_friendly.php?flash=true&page=transcript&doc=97&title=Transcript+of+Civil+Rights+Act+(1964)

4. Title IX, Education Amendments of 1972 - http://www.dol.gov/oasam/regs/statutes/titleix.htm

5. Civil Rights Restoration Act of 1987, P.L. 100-259, as amended by Civil Rights – http://thomas.loc.gov/cgi-bin/bdquery/z?d100:SN00557:@@@L&summ2=m&|TOM:/bss/d100query.html|

6. Restoration Act of 1991, P.L. 102-166 - http://thomas.loc.gov/cgi-bin/bdquery/z?d102:SN01745:@@@L&summ2=m&|TOM:/bss/d102query.html

7. Nondiscrimination in Federally Assisted Programs, 7CFR-15, April 11, 1979 including the Nondiscrimination – Direct USDA Programs and Activities, 7CFR15, June 11, 1982 - http://www.washingtonwatchdog.org/documents/cfr/title7/part15.html

8. USDA DR 4330-2, Nondiscrimination in Programs and Activities Receiving Federal Financial Assistance from USDA, dated 3/3/99 - http://www.usda.gov/da/4330-2.pdf#search='usda%20dr%2043302’

9. The ADA: (a) Americans with Disabilities Act of 1990 http://www.dol.gov/esa/regs/statutes/ofccp/ada.htm (b) The Americans with Disabilities Act: Questions and Answers, http://www.usdoj.gov/crt/ada/q%26aeng02.htm

10. Section 504 of the Rehabilitation Act of 1973 as amended, 19 USC 794 - http://www.dol.gov/oasam/regs/statutes/sec504.htm

11. Age Discrimination Act of 1967 or 1975, 42 USC 601 et.seq. - http://www.eeoc.gov/policy/adea.html

12. University of Missouri Cooperative Extension Affirmative Action Plan - http://extension.missouri.edu/staff/EEO/files/AAPlan.doc

13. University of Missouri Extension and Lincoln University Cooperative Extension Strategic Plan for Diversity - http://outreach.missouri.edu/staff/diversity/DCT%20StrategicPlanRevised.pdf

14. Previous Civil Rights Internal Compliance Reviews and/or USDA Civil Rights Reviews (at least two previous review periods)

15a. County Affirmative Action Plan from WebApps – http://extension.missouri.edu/webapps

15b. County Affirmative Action Report from WebApps – http://extension.missouri.edu/webapps

16. Compliance Forms: Extension Family and Community Education (FCE) Club, 4-H Clubs and organizations receiving substantial technical assistance from Extension - http://extension.missouri.edu/staff/EEO/civilrightscompliance.html 17. Current census statistics for the county (ethnicity, age, gender.) – http://mcdc2.missouri.edu/websas/dp3_2kmenus/mo/counties.html 18. List of EEO Counselors and Statewide AA/EEO Officer Contact Information - http://extension.missouri.edu/staff/EEO/eeocounselors.html 19. ADA checklist for Self-Evaluation of Accessibility - http://extension.missouri.edu/staff/EEO/civilrightscompliance.html

1. Poster (“And Justice for All” non-discrimination poster)

2. Review newsletters, news releases, program brochures and regular correspondence for non-discrimination clause.

3. All mailing lists should be coded by gender and ethnicity.

Public Notification Requirements

Efforts

For each county office, the CPD must ensure appropriate Civil Rights efforts. Every three years, the AA/EEO team will conduct an internal review to include:

1. Review Compliance Forms. Is there one on file for each Extension Club and 4-H Club?

2. Ensure Data Collection. Each Specialist should report minority participation in programs in the county. Use the voluntary demographic information form: http://extension.missouri.edu/staff/diversity/VolDemoInfo.html

Committees. How are committees selected? Is there representation that reflects the ethnic/gender breakdown of the county? http://apps.extension.missouri.edu/ExtensionCouncilIntranet/ChooseFunction.aspx

Can staff describe “all reasonable efforts?”

Is there a 4-H Expansion and Review Committee?

Are statements of non-discrimination on file for organizations that receive substantial technical assistance?

Is the staff knowledgeable about the discrimination complaint procedure? Do staff display the program complaint procedure at each program? http://extension.missouri.edu/staff/eeo/files/ProgComplaint Info.ppt

Do staff have current position descriptions?

Is the office accessible to persons with disabilities? See accessibility checklist at: http://extension.missouri.edu/staff/EEO/files/HANDICAP%20ACCESSIBILITY%20SELF.doc. It should be used in each office and each programming location.)

LIST OF COUNTY EXTENSION PERSONNEL

Name Position Ethnicity Gender

1.

2.

3.

4.

5.

(name, ethnicity, gender; add to County Civil Rights File)

List each Extension committee in your county, and add to County Civil Rights File.Year ______

Name of Committee

White Black Asian Native Am.

Hispanic

M F M F M F M F M F

UNIVERSITY OF MISSOURI EXTENSIONCOUNTY COMMITTEE REPORT

List all outside groups that are receiving substantial educational assistance, and add to County Civil Rights File. Year ______

Name of Group

White Black Asian Native Am.

Hispanic

M F M F M F M F M F

OUTSIDE GROUP REPORT

UNIVERSITY OF MISSOURI EXTENSION4-H ACTIVITY FORM

(USDA 237 may be substituted.)

Activity or Event

White Black Asian Native Am.

Hispanic

M F M F M F M F M F

List all 4-H activities and demographics of the participants.Year ______

TO: ______________________________________(Regional Director)

Extension Region: ___________ County: _________Club Name: ________________ Date Organized: _____

Identify geographic area (town, community, neighborhood). Be as specific as possible.

CERTIFICATION OF REASONS FOR NON-PARTICIPATION (Form CR-2)

Extension Region: _______________________________

4-H FCE Clubs

I have reviewed the “Certification of Reasons for Non-participation for Clubs Where Interracial Mix is Possible but not Achieved” membership forms for 4-H/FCE Clubs and the annual Civil Rights report for this region, and certify the clubs to be in compliance with the Civil Rights requirements as outlined in the Affirmative Action Plan for the University of Missouri Extension.

ANNUAL CERTIFICATION OF COMPLIANCE FOR 4-H CLUBS (Form CR-3)

Coding Lists

In compliance with federal regulations, University of Missouri Extension is required to collect data and information from applicants for and recipients of federal assistance. This includes establishing and maintaining a system for collecting and reporting data on minority participation in USDA programs.

Data should be filed under safeguards that will prevent any misuse for discriminatory purpose. Such safeguards include restricting records access to authorized personnel, coding racial identification of office records and using only aggregated data in reports to the public.

Mailing lists, meeting attendance lists and program committee lists should be kept as sources of documentation. These lists should be coded to allow for identification of racial categories. Coding should be done in a uniform manner; therefore, the following codes should be used.

1 – Black2 – Hispanic3 – Asian or Pacific Islander4 – American Indian or Alaskan Native5 – White

COUNTY EXTENSION COUNCIL MEMBERSHIP

Form is printed from the Council Membership On-Line DatabasePlease add to the printout:

__________ County __________ Region________ Year

NOTE: County Program Directors should complete this form after elections and return to Regional Director by March 1 each year. Include newly elected and appointed members and those remaining on the Council.

ACCESSIBILITY SELF-EVALUATION CHECK LIST

Section 504 Yes No N/A Corrective Action/Comments

1 Are reasonable accommodations made upon request by person(s) with disabilities?

2 Are reasonable modifications made upon request by person(s) with disabilities?

3 Does the community have written grievance procedures?Accessible Route Questions Yes No N/A Corrective Action/Comments

1 Is there at least one accessible route connecting all parts of the facility?

This form should be completed for the county office and any location where programming occurs.

Section 504 of the Rehabilitation Act of 1973Date: ________________________County: _______________________Region: _______________________Location: ________________________ [Is this the county office or a program location (circle)?]County Program Director: _________________Please check either yes, no or not applicable (N/A) to each question. If the answer is no, please explain in the corrective action/comment(s) section following each element. It is important to know exact measures/conditions of inaccessible elements and if there are any plans to correct such elements. Suggestions for corrective action may be found at http://www.usdoj.gov/crt/ada/checktxt.htm. Use additional pages as needed. If assistance is needed, please contact the AA/EEO Office at 573-882-3407.

County: _____________________________________________

I have reviewed the County Civil Rights File and certify it to be in compliance with the Civil Rights requirements as outlined in the Affirmative Action Plan for the University of Missouri Extension._________________________________ _________________(County Program Director) (Date)

Completed form in Regional Office and county Affirmative Action files.

ANNUAL NOTIFICATION OF REVIEW FOR CIVIL RIGHTS FILES

Region Number of Counties to Visit

2010-2011 2011-2012 2012-2013

Northwest 5 5 5

Northeast 5 5 6

Central MO 5 5 4

East Central 4 3 3

Southeast 5 5 6

South Central 5 5 6

Southwest 5 5 6

West Central 4 4 3

Sample Regional Internal Review Schedule for Regional Directors

2010-2011 2011-2012 2012-2013

Northwest Region – done

East Central Region

West Central Region

Northeast Region – done

Southwest Region South Central Region

Central MO Region – done

Southeast Region

WC Region – done

Sample Schedule for One-Day Visit by Regional Director and AA/EEO Coordinator

Statewide Program Areas

Date Program Area Will Be Reviewed

2010-2011 2011-2012 2012-2013

Agriculture & Natural Resources

x

Business Development x

Community Development x

Human Environmental Sciences

x

Youth x

Statewide Program Area Internal Review: Schedule of Office Visits

Results

Faculty and staff are aware of and apply Civil Rights laws and regulations.

Faculty, staff, Regional Directors and County Program Directors take a leadership role in compliance reviews.

114 counties are reviewed and approved every 3 years.

Programs are accessible.

Under-represented audiences are reached.

State program offices are in compliance.