SECTION 2.20  AFFIRMATIVE ACTION PROGRAM PROCEDURES

Last Update:  9/05

 

 

The State’s Affirmative Action Program is a temporary measure adopted by the State until such time as its workforce matches or surpasses the relevant labor force as defined by the most recent U.S. Census and undoes the results of past practice. As part of this commitment, executive branch departments are required to submit an annual report of their affirmative action progress to the Iowa Department of Administrative Services – Human Resources Enterprise (DAS-HRE). This report, as required by Code chapter 19B, must comply with specific standards applicable to each state agency based on the relevant labor pool from which the agency draws or the persons that can be reasonably recruited. Some departments, because of their size, may not be required to set remedial goals; however, all departments are required to adopt the State of Iowa Equal Opportunity, Affirmative Action and Anti-Discrimination Policy contained in Section 2.40 of this chapter.

 

There are three components to the State’s effort to develop an effective affirmative action program:

 

·         DAS-HRE provides each department with affirmative action planning materials.

·         Departments work with DAS-HRE to develop both a Quantitative Analysis Report and a Qualitative Analysis Plan for the fiscal year.  DAS-HRE folds these plans into an enterprise affirmative action report/plan.

·         DAS-HRE assists departments in recruiting protected class applicants and developing effective selection plans to meet their hiring goals. DAS-HRE also provides assistance and guidance to departments as they carry out the action plans that comprise their qualitative analysis plans.  Departments cooperate with DAS-HRE on affirmative action and equal opportunity monitoring and quarterly reporting.

 

A.                  Affirmative Action Plan Preparation:

 

1.                   This process mirrors the State’s fiscal year. Workforce data is based on the last pay period of the current fiscal year and the first pay period of the next.  Departments have approximately a month from the time they receive this data from DAS-HRE in which to complete their report/plan and submit it to DAS-HRE.  DAS-HRE has until September 30 to compile an enterprise report/plan and submit it to the Governor.

2.                   DAS-HRE notifies departments of the annual reporting period due dates and provides the reporting materials. This may occur during an annual update meeting with affirmative action contacts, depending upon the need.

3.                   DAS-HRE calculates departments’ workforce utilization rates.  This automated process provides the data that departments need to focus their affirmative action efforts on developing methods to remedy any identified underutilization of protected groups.  This data is sent to departments following the conclusion of the last pay period in the current fiscal year and after the first pay period of the new fiscal year.

4.                   This is both a report and plan.  Departments report their actions and successes in the current planning year and detail how they plan to address their underutilization in the next planning year.

5.                   Planning materials consist of the following sections:

 

a.                   Cover Page: This form specifies the period covered by the Affirmative Action Plan, the affirmative action reporting unit(s) included in the Plan, the person(s) responsible for preparing the report, the department director’s signature (approval), and the signatures for DAS-HRE acknowledgement.

 

b.                   Goals and Timetables:  This computer-generated form (AA Form D) includes the amount of underutilization for females and minorities for each EEO-4 Category used by the department and the departmentwide underutilization for persons with disabilities. It also includes hiring goals for the upcoming year and the year in which the workforce should balance.

Typically, the hiring goals are calculated by DAS-HRE for the department’s review.  The hiring goals are based on the department’s hiring trends in that particular EEO-4 Category over the last two-three years.  Timetables are also predetermined by calculating the number of years needed to eliminate the underutilization, based on the current goal.

After receiving the Goals and Timetables, the person preparing the Affirmative Action Plan should review these with department management.  Departments should review the projected hires used to calculate the goals and timetables.

If in agreement with the predetermined goals and timetables, the AA contact signs the “Department Approval” line on the report.

If not in agreement with the predetermined goals and timetables, the AA Contact should discuss the proposed revisions with DAS-HRE.  Once agreement has been reached with DAS-HRE, the AA Contact then signs the form, followed by DAS-HRE sign-off.

Under atypical circumstances, DAS-HRE may delegate goal-setting directly to the department, to be followed by DAS-HRE review.  An example of such a situation would be when projected hiring is anticipated to decrease from past practice due to hiring freezes or budget constraints.  In such case, the department has the better perspective on the type of hiring it may be doing.  Such hiring may vary considerably from past practice.

 

c.                   Qualitative Plan Results for Current FY (AA Form A):  This is an assessment, by EEO-4 Category for females and minorities and departmentwide for persons with disabilities, of how well the department met the objectives of non-remedial goals set for the current (closing) planning year.  Reasons for not meeting the objectives may feed into the section on “Factors Contributing to Underutilization” as well as serve as the basis for setting reasonable, practical and workable non-remedial goals set for the upcoming planning year.

 

d.                   Qualitative Utilization Analysis for Current FY (AA Form B):  This computer-generated form (also available online) comes with the underutilization data filled in by EEO-Category for females and minorities and by department for persons with disabilities.  Based on their firsthand knowledge of their operations, departments are asked to list the reasons why they believe they are underutilized.  This is not to be in the form of a justification, e.g., “The budget prevented us from making protected group hires.” Rather, factors must be presented in a manner in which possible methods for developing remedial action plans can be explored.  Examples of some factors include the following:

(1)                 Limited number of protected group applicants.

(2)                 Protected group applicants do not meet the qualifications.

(3)                 Excessive turnover of protected group employees.

(4)                 Protected group employees were not available for promotions.

(5)                 Protected group applicants or employees were unwilling or unable to work during the hours, at the work sites, or under the conditions of employment required for the available position.

 

e.                   Qualitative Utilization Analysis Plan for Next FY (AA Form C):  This is a computer-generated form (also available online), again formatted by EEO-4 Category. The plan preparer uses the results of the previous year’s plan and the “Qualitative Utilization Analysis” described in d. above as the basis for developing plans to address current underutilization.  An action plan is completed for each area of underutilization.  These are not rationales; these are definitive action steps for addressing the specific causes of the underutilization.  See “Strategies for Addressing Factors Contributing to Underutilization” and “Low-Cost Recruitment Strategies” in Section 2.50 of this chapter.

Agencies should begin working on these plans before the current fiscal year ends or as close as possible to the start of the new fiscal year so they can be taken into account when developing the department’s overall budget and work plans for the year.

 

B.                  Affirmative Action Plan Review:

 

1.                   Departments must submit their Affirmative Action Plans for review by the due date set by DAS-HRE.  This is to ensure that DAS-HRE is able to finish the annual Affirmative Action Report and Plan required by law by September 30.

2.                   Using the Affirmative Action Plan Review Criteria and Review Form, DAS-HRE staff review whether each section of the Report/Plan has been completed appropriately and incorporate this information into the Enterprise Report/Plan.  If questions arise, they will contact the plan preparer and/or management liaison for that department to resolve them prior to conclusion of the Report/Plan.

 

C.                  Monitoring and Reporting:

 

1.                   Monitoring of ongoing efforts to fulfill the goals established in the affirmative action plans takes place in the following manner:

a.                   Quarterly Affirmative Action Reports:  Each quarter, DAS-HRE prepares a progress report identifying changes in the underutilized workforce and the corresponding effect of these changes on affirmative action hiring goal achievement and progress towards a balanced workforce. A summary of this information is sent to each department.

b.                   Hiring Decision Recordkeeping:  When departments have an opportunity to fill vacancies, they are notified whether the position being filled is an underutilized job class.  The fact that a remedial hiring goal may exist does not replace the requirement for equal employment opportunity or the need to hire the best qualified applicants.  Applicants must never be interviewed or hired solely based on their characteristics related to a hiring goal.  If affirmative action is to operate correctly, however, applicant characteristics may be considered as additional factors where applicants’ qualifications are relatively equal.

Departments will document the hiring process followed and the reasons for the hiring decisions made.  These documents shall be kept by the department for three years and may be requested by DAS-HRE.