AASHTO June 6, 2016 Developing Effective Affirmative ... · Affirmative Action Plans AASHTO June 6, 2016 John Eley, EEO/ADA Manager, NCDOT. Transportation Background Information on

Developing Effective Affirmative Action Plans

AASHTOJune 6, 2016

John Eley, EEO/ADA Manager, NCDOT

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Background Information on NCDOT’s Affirmative Action Program

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NCDOT Program Background

• 12 years without an approved Affirmative Action Plan (AAP)

• Understaffed – 1 to 2 EEO Program Specialists implementing the AAP, conducting complaints of unlawful discrimination, and reviewing all hiring packages

• Lack of steady leadership - EEO manager position remained vacant 85% of the time from August 2010 to October 2013

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• Six Program Deficiencies cited by FHWA as follows:

• EEO Performance Measure for Managers

• Affirmative Action Plan

• Periodic Re-Evaluation of Job Descriptions, Classifications, and Hiring Criteria Plan

• Disciplinary Actions Monitoring Plan

• Adverse Impact Analysis

• Annual Report Revisions• 3-year adverse impact analysis• Current workforce analysis

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Getting Started

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• Staff Redeployment to Internal EEO/ADA Program

• Hired an EEO/ADA Manager

• Added 2 investigators and a second EEO Program Specialist

• Ultimately added an EEO Employment Specialist

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Getting Started

•Trained the staff – sent 2 employees for 2 days of fundamentals of AA

•Studied and followed FHWA’s model AAP available in its Internal EEO Program Desk Reference Manual

•Consulted other states

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Getting Started

•Maximized use of HR information systems

•Researched on-going internal targeted recruitment program activities

•Collaborated with FHWA – sent section drafts for review and feedback

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Developing the Affirmative Action Plan

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Used the KISS Principle

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• Identified the major components to include in the AAP

• Divided the labor

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Major Components of AAP

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1. Provide general information about the AAP and the agency

• Purpose of an AAP

• Agency’s EEO Policy Statement

• Agency organizational chart

• Major business units

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2. Identify those responsible for affirmative action

• Agency head

• AA officer

• Human Resources

• Managers and supervisors

• All employees

3. Identify state and federal laws, regulations, directives, and executive orders that govern affirmative action

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4. Provide and narrate state and agency workforce demographics

• Total 2010 population = 9,848,060

• Total employed population = 4,640,230

2010 Census of Population and Employment by Ethnic Group and Gender

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4. Provide and narrate state and agency workforce demographicsWorkforce Representation by EEO Job Category

NCDOTWhite Male

White Female

Black Male

Black Female

Hisp Male

Hisp Female

Asian Male

Asian Female

AIAN Male

AIAN Female

EthnUnk TOT

TOT MNRT

TOTMale

TOTFemale

Employees 48 18 6 9 2 4 87 17 56 27% Represented 55.17 20.69 6.90 10.34 2.30 4.60 100.00 19.54 64.37 31.03

Employees 1536 678 225 314 18 27 103 42 14 3 213 3173 746 1896 1064% Represented 48.41 21.37 7.09 9.90 0.57 0.85 3.25 1.32 0.44 0.09 6.71 100.00 23.51 59.75 33.53


Employees 147 24 7 3 3 2 1 9 196 16 160 27% Represented 75.00 12.24 3.57 1.53 1.53 1.02 0.51 4.59 100.00 8.16 81.63 13.78

Employees 1 1 1% Represented 100.00 100.00 100.00

Employees 111 614 49 242 2 11 5 1 9 58 1102 319 163 881% Represented 10.07 55.72 4.45 21.96 0.18 1.00 0.45 0.09 0.82 5.26 100.00 28.95 14.79 79.95

Employees 3596 85 701 15 42 3 5 126 5 104 4682 897 4470 108% Represented 76.80 1.82 14.97 0.32 0.90 0.06 0.11 2.69 0.11 2.22 100.00 19.16 95.47 2.31

Employees 17 2 7 2 28 7 24 2% Represented 60.71 7.14 25.00 7.14 100.00 25.00 85.71 7.14


Overall Results

Officials and Administrators

Professionals

Technicians

Protective Services

Paraprofessionals

Administrative Support

Skilled Craft

Service and Maintenance

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4. Provide and narrate state and agency workforce demographicsComparative Analysis: NCDOT Workforce with Expected Labor Force

EEO Category White Male

WhiteFem

BlackMale

BlackFem

HispMale

HispFem

AsianMale

AsianFem

AIANMale

AIANFem

EthnUnk

Dis-abled

TotalMnrt

TotalFem Total

Num and Percentage 48 18 6 9 2 4 17 27 87Employed in Agency 55.2 20.7 6.9 10.3 2.3 4.6 19.5 31 100

Num and % Expected 46 26 5 5 2 1 1 1 0 0 10 15 33Based on Labor Force 52.5 30 5.4 6.3 2 1.1 1.3 0.8 0.4 0.3 11.6 17.6 38.5

Over/Under Occ Rep 2 -8 1 4 -2 -1 1 -1 0 0 -10 2 -6

Num and Percentage 1,536 678 225 314 18 27 103 42 14 3 213 23 749 1,064 3,173Employed in Agency 48.4 21.4 7.1 9.9 0.6 0.9 3.2 1.3 0.4 0.1 6.7 0.7 23.6 33.5 100

Num and % Expected 1,095 1,349 162 352 41 60 51 41 6 16 368 730 1,818Based on Labor Force 34.5 42.5 5.1 11.1 1.3 1.9 1.6 1.3 0.2 0.5 11.6 23 57.3

Over/Under Occ Rep 441 -671 63 -38 -23 -33 52 1 8 -13 -345 19 -754

Num and Percentage 1,078 129 99 33 8 2 14 3 24 3 20 16 186 170 1,413Employed in Agency 76.3 9.1 7 2.3 0.6 0.1 1 0.2 1.7 0.2 1.4 1.1 13.2 12 100

Num and % Expected 365 668 82 216 10 24 14 17 3 11 164 377 937Based on Labor Force 25.8 47.3 5.8 15.3 0.7 1.7 1 1.2 0.2 0.8 11.6 26.7 66.3

Over/Under Occ Rep 713 -539 17 -183 -2 -22 0 -14 21 -8 -148 -191 -767

Num and Percentage 147 24 7 3 3 2 1 9 17 27 196Employed in Agency 75 12.2 3.6 1.5 1.5 1 0.5 4.6 8.7 13.8 100

Num and % Expected 112 25 32 19 4 2 1 0 1 0 23 59 46Based on Labor Force 57.2 12.7 16.2 9.8 2 0.8 0.4 0.1 0.6 0.2 11.6 30.1 23.6

Over/Under Occ Rep 35 -1 -25 -16 -1 -2 1 0 0 0 -23 -42 -19

Protective Services

Technical

Professional

Officials and Administrators

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4. Provide and narrate state and agency workforce demographicsComparative Analysis: NCDOT Workforce with Expected Labor Force (cont’d)

EEO Category White Male

WhiteFem

BlackMale

BlackFem

HispMale

HispFem

AsianMale

AsianFem

AIANMale

AIANFem

EthnUnk

Dis-abled

TotalMnrt

TotalFem Total

Num and Percentage 1 1Employed in Agency 100 100

Num and % Expected 0 0 0 0 0 0 0 0 0 0 0 0 0Based on Labor Force 39.7 36.1 7.7 11.4 3.6 1.1 0.2 0.2 0 0 11.6 24.2 48.8

Over/Under Occ Rep 1 0 0 0 0 0 0 0 0 0 0 0 0

Num and Percentage 111 614 49 242 2 11 5 1 9 58 14 319 881 1,102Employed in Agency 10.1 55.7 4.4 22 0.2 1 0.5 0.1 0.8 5.3 1.3 28.9 79.9 100

Num and % Expected 186 598 75 177 13 29 6 11 2 6 128 318 821Based on Labor Force 16.9 54.3 6.8 16.1 1.2 2.6 0.5 1 0.2 0.5 11.6 28.9 74.5

Over/Under Occ Rep -75 16 -26 65 -11 -18 -6 -6 -1 3 -114 1 60

Num and Percentage 3,596 85 701 15 42 3 5 126 5 104 48 898 108 4,682Employed in Agency 76.8 1.8 15 0.3 0.9 0.1 0.1 2.7 0.1 2.2 1 19.2 2.3 100

Num and % Expected 2,467 389 744 229 609 122 42 23 52 9 543 1,831 773Based on Labor Force 52.7 8.3 15.9 4.9 13 2.6 0.9 0.5 1.1 0.2 11.6 39.1 16.5

Over/Under Occ Rep 1,129 -304 -43 -214 -567 -119 -37 -23 74 -4 -495 -933 -665

Num and Percentage 17 2 7 2 7 2 28Employed in Agency 60.7 7.1 25 7.1 25 7.1 100

Num and % Expected 6 10 3 5 2 1 0 0 0 0 3 12 17Based on Labor Force 20.5 35.4 10.7 19.1 5.4 5.3 1 1.3 0.3 0.9 11.6 44 62

Over/Under Occ Rep 11 -8 4 -5 -2 -1 0 0 0 0 -3 -5 -15

Service and Maintenance

Skilled Craft

Administrative Support

Paraprofessional

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5. Provide and narrate applicant flow and adverse impact

• Applicant Flow - reflects applicant flow by race, gender and hiring process steps for the period and indicates the percentages of female and minority applicants at each step of the process

• Tool used in examining the fairness and inclusiveness of the recruitment efforts - integral part of barrier identification

• Adverse impact – employment practices that appear neutral but have a discriminatory or disproportionately negative effect on a protected group

• Covers all employment activities – hires, promotions, demotions, terminations, disciplinary actions, training and development, etc.

• Analysis of positive employment actions uses selection rates while analysis of negative employment actions uses retention rates

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6. Conduct a utilization analysis to determine underrepresentation and establish 5-year rolling job placement goals for each EEO job category

• Involve major agency business units in estimating job openings for the coming year

• Determine vacancy percentages for each major business unit per EEO job category

• Calculate annual placement goals for each major business unit using the FHWA formula contained in the Desk Reference

• Evaluate goals as to whether reasonable and attainable

• Consult with FHWA liaison regarding adjustments

Annual Placement Rate = Number Needed to Reach Parity Number Anticipated Vacancies x Number Years to Reach Goal Annual Placement Goal = Annual Placement Rate x Number Anticipated Vacancies

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7. Identify and describe program monitoring and evaluation systems, good faith efforts, and program activities to address concerns.

• Monitoring and Evaluation Systems• Internal, such as quarterly reviews of the workforce, hirings, promotions,

and disciplinary actions as well as reporting to the Secretary, Executive Staff, and major business units

• On-site evaluations to review EEO goals, underrepresentation, hiring and promotion, and disciplinary action reports and provide other relevant EEO updates with management and conduct interviews with management and non-management employees

• External, such as the FHWA Annual Update Report and re-certification of the program

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• Good Faith Efforts• Accountability – performance measure for managers and supervisors• Recruitment, Selection, and Hiring - connections with minority and female

organizations for recruitment, in compliance with federal and state EEO laws, and merit-based

• Promotions – promotional priority• Training – annual plans, internal diversity training, and external training for

career advancement or to update/advance skill levels• Upward Mobility Programs, such as

• Summer Engineering Associates• Transportation Engineering Associates• Cooperative Education Program• HBCU Internships• Mentoring

• Discrimination Complaint Process

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• Program Activities to Address Concerns• Goal notifications• Review/approval of hiring decisions• Periodic re-evaluation of job descriptions, hiring criteria and job

classifications• Diversity training • Disciplinary actions monitoring• EEO Advisory Committee to the Secretary

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Affirmative Action Program Implementation

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NCDOT Program Highlights

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• On-site evaluations

• Quarterly reporting to business units

• Upward mobility programs

• EEO Performance Management

• Quarterly EEO/ADA meetings with the Secretary and Executive Staff

• EEO Advisory Committee to the Secretary

• 100% review/approval of hiring decisions

• Disciplinary action disparity monitoring and reporting

• Annual EEO/ADA report to the Secretary

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On-site Evaluations

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• Research – determine units to be evaluated• Analysis – determine scope of evaluation• Outreach – educate business unit head• Formal notification – send formal notification letter• Pre-visit preparation – identify managers and non-management

employees for anonymous interviews on issues related to EEO• Materials – prepare reports, such as underrepresentation and disciplinary

actions, for discussion and prepare updates to the EEO/AA program• On-site evaluation

• Discuss reports and materials with management at the opening conference• Interview management and non-management employees

• Final report – draft a report of findings, conclusions, and recommendations and ask the business unit head for feedback and/or revisions

• Close-out conference call – discuss next steps• Commitments – obtained signed commitments to review quarterly

reports or perform other EEO-related activities

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Upward Mobility Programs

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• Summer Engineering Associates – civil, environmental, and biological engineering student interns

• Transportation Engineering Associates - 18-24 month training and career development program for entry-level civil, environmental, or biological engineers

• Mentoring Program - 12-month partnership between a mentor and a protégé to develop individuals and build a more valuable, responsive workforce

SEA 2014 - 2015 Hire Demographics

White Black Hispanic Asian AIAN TOT TOT MNRT

TOTFEM

Number 191 53 7 13 1 265 74 65Percent 72.08 20.00 2.64 4.91 0.38 27.92 24.53

TEAs1/2013 - 6/2015

White Male

White Female

Black Male

Black Female

Hisp Male

Hisp Female

Asian Male

Asian Female AIAN AIAN TOT

TOT MNRT

TOTFEM

Number 35 14 12 6 1 4 3 1 0 0 76 27 25Percent 46.05 18.42 15.79 7.89 1.32 5.26 3.95 1.32 0.00 0.00 100.00 35.53 32.89

MENTORING2011 - 2015

White Male

White Female

Black Male

Black Female

Hisp Male

Hisp Female

Asian Male

Asian Female

AIAN Male

AIAN Female

Ethn Unkn TOT

TOT MNRT

TOTFEM

Protégé 32 13 10 17 1 4 2 0 0 0 1 80 34 34Promotions 17 10 7 12 0 1 1 0 0 0 0 48 21 23

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• HBCU/MIHE Internship Program - paid, 10-week program designed to provide students with hands-on, real world experiences with various offices at the NCDOT

HBCU/MIHE Interns for FFY 2015College/University Applied Interviewed Offered Accepted

Bennett College 6 3 1 1

Elizabeth City State University 15 13 3 3

Fayetteville State University 31 9 3 3

Johnson C. Smith University 7 4 1 1

Livingstone College 13 8 1 1

NC A&T State University 17 15 8 5

NC Central University 16 11 6 6

Saint Augustine’s University 25 14 3 3

Shaw University 16 10 2 2

Winston Salem State University 11 9 4 4

UNC Pembroke (MIHE) 0 0 0 0

Total 157 96 31 29

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• Statewide Model Bridge Building Competition - gives middle and high school students an opportunity to apply mathematical concepts and principles taught in their classrooms to a building project

Model Bridge Building Competition

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• Introduce a Girl to Engineering Day - provides female students with an interest in math with an opportunity to participate in hands-on, transportation-related engineering activities

Introduce a Girl to Engineering Day

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Disciplinary Action Monitoring

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Issue: Persistent problem with the issuance of disciplinary actions to black males in excess of workforce representation

• Monitor disciplinary actions quarterly to ensure fairness and consistency

• Conduct in-depth analyses of the following when actions issued exceed the gender/ethnic group’s workforce representation by more than 2 percentage points in the Department or business unit

• supervisors issuing the disciplinary actions • interval data for the issuance of subsequent actions • the jobs to which the actions were issued• the reasons actions were taken

Finding: Recent analysis revealed a strong correlation (0.7 correlation co-efficient) between the percentage of minorities in a work unit with the propensity to issue disciplinary actions

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Disciplinary Actions Monitoring

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Challenges

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• Persistent underrepresentation of minorities and females

• Disproportionate issuance of disciplinary actions to black males

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NCDOT Workforce

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NCDOT Workforce

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Personnel Area/EEO Category

White Male

WhiteFem

BlackMale

BlackFem

HispMale

HispFem

AsianMale

AsianFem

AIANMale

AIANFem

EthnUnk

Dis-abled

TotalMnrt

TotalFem

Overall Parity

All Occupations2015 Parity Rating 1.53 0.50 0.99 0.62 0.11 0.17 1.07 0.54 2.60 0.48 N/A 0.08 0.66 0.51 73.95%

2014 Parity Rating 1.55 0.51 1.03 0.60 0.10 0.17 1.15 0.52 2.69 0.55 N/A 0.09 0.67 0.51 74.04%

2013 Parity Rating 1.56 0.52 1.05 0.57 0.12 0.15 1.10 0.52 2.87 0.63 N/A 0.11 0.67 0.51 74.10%

2012 Parity Rating 1.56 0.53 1.08 0.53 0.12 0.16 1.11 0.49 2.92 0.61 N/A 0.12 0.67 0.51 74.19%

2011 Parity Rating 1.57 0.54 1.10 0.54 0.12 0.15 1.11 0.52 3.04 0.62 N/A 0.13 0.68 0.52 74.45%

2010 Parity Rating 1.55 0.55 1.11 0.54 0.12 0.14 1.07 0.45 3.29 0.65 N/A 0.14 0.68 0.53 74.80%

2009 Parity Rating 1.24 0.57 1.53 0.78 0.16 0.46 1.45 1.36 2.29 0.74 N/A 0.09 1.02 0.62 83.16%

2008 Parity Rating 1.23 0.57 1.52 0.78 0.15 0.48 1.37 1.25 2.27 0.76 N/A 0.00 1.02 0.62 83.25%

2007 Parity Rating 1.23 0.58 1.53 0.77 0.14 0.51 1.36 1.29 2.42 0.84 N/A 0.10 1.03 0.62 83.50%

Partiy Ratings 2007 ‐ 2015Yearly Comparison

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Disciplinary Actions Monitoring

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Make it happen……

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Thank You

John W. Eley, EEO/ADA ManagerNC Department of Transportation

919.508.1804 [email protected]

http://www.ncdot.gov/programs/eeo/download/aashto.pdf

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AASHTO June 6, 2016 Developing Effective Affirmative ... · Affirmative Action Plans AASHTO June 6, 2016 John Eley, EEO/ADA Manager, NCDOT. Transportation Background Information on