FY 1984 ADMINISTRATIVE RULES
The following are administrative
rules promulgated by the Iowa Civil Rights Commission during FY 1984, to
Section 240-lowa. Administrative Code.
240 - 1.1(6)c: The term "satisfactorily adjusted" shall mean that the complainant has indicated in writing that the complaint has been resolved to the satisfaction of the complainant, and that no further action is desired from the commission. Whenever the offer of adjustment by a respondent is acceptable to the investigating official, but not to the complainant, the commission may close the case as satisfactorily adjusted. In a case which has been determined by the commission as having probable cause, the respondent's signature must be obtained before the case can be considered to be satisfactorily adjusted.
240 - 1.2(601A) Organization and administration.
a. Location. The Iowa Civil Rights Commission is located on the eighth floor, 507 Tenth Street, Des Moines, Iowa 50319; phone (515) 281-4121. Office hours are 8:00 a.m. to 4:30 p.m. Monday through Friday.
b. Commission. The Iowa Civil Rights Commission is a seven member body. Individual members are appointed by the governor pursuant to Iowa Code section 60 IA. 3.
1.2(2) Administration. The executive director is responsible for the day-to-day administration of the commission's activities. These activities are carried out by three divisions which are directly responsible to the executive director
a. Compliance division. This division is responsible for the receipt, mediation, investigation, conciliation, hearing and litigation of complaints. All complaints should be submitted to the compliance division by mail, in person or by telephone during business hours, at (515) 281-4121.
b. Administrative division. This division is responsible for administrative support, clerical support, legislative liaison, commission liaison and administrative rule coordination.
c. Advocacy and affirmative action division. This division is responsible for the prevention of discrimination through educational, affirmative action, and developmental disability programs. Its activities include training, community liaison, public outreach, public relations, individual or group consultation and intervention. The division may be reached during business hours at (515) 281-4121.
1.2(3) Forms. Forms are available at the commission office without charge. Commission staff is available to assist the public in all matters relative to the forrns.
a. "Charge of Discrimination," EEOC 5c. This form is used for a complaint alleging a discriminatory or unfair practice or act in all jurisdictional areas except housing.
b. "Housing Discrimination Complaint," HUD 903. This form is used for a complaint alleging discriminatory or unfair practice or act in the jurisdictional area of housing.
c. "Release of Information." This form is used by the developmental disability program to secure authorization for relevant client information.
d. "Work Force Analysis," AA001. This form is used by a state agency to report its work force.
e. "Availability Analysis, " AA002. This form is used by a state agency to report the relevant labor force data.
f. "Utilization Analysis," AA003. This form is used by a state agency to compare its work force with the relevant labor force.
This rule is intended to implement Iowa Code section 601A.5.
240 - 1.4(601A) Processing the complaint.
1.4(1) Jurisdictional review. Upon the receipt of a statement offered as a complaint, the executive director or designee shall review the complaint to determine whether the commission has jurisdiction of the complaint. A no jurisdiction determination shall constitute final agency action for purposes of judicial review
1.4(2) Notice of the complaint. After jurisdictional review and within twenty days of receipt of the complaint, the executive director or designee shall serve respondent with a copy of the complaint by certified mail. A letter of acknowledgment shall advise the complainant of the right to withdraw the complaint and sue in the district court according to Iowa Code section 60 1 A. 16.
1.4(3) Administrative review.
a. The executive director or designee shall periodically review the complaint to determine whether further processing is warranted. Further processing is warranted when the information collected indicates a strong possibility of a probable cause determination, the law issues in the complaint need development, or commission resources permit. A complaint determined not to warrant further processing may be administratively closed after notice of intended closure. Notice of intended closure shall state reasons for closure and be served by certified mail upon the complainant. The complainant shall be allowed thirty days to respond. Response shall be in writing and sent to the executive director or designee stating reasons why the complaint should remain open. The executive director or designee shall review and consider the response before making a closure decision. A complaint determined not to warrant further processing may be closed after one hundred twenty days of receipt and before three hundred days or before a probable cause deten-nination, whichever occurs first.
b. A complaint may be administratively closed at any time if the complainant cannot be contacted after diligent efforts or is uncooperative causing unreasonable delay in the processing of the complaint.
c. A complaint may be closed as satisfactorily adjusted when the respondent has made an offer of adjustment acceptable to the executive director or designee but not to the complainant. Notice of intended closure shall state reasons for closure and be served by certified mail upon the complainant. The complainant shall be allowed thirty days to respond in writing to the executive director or designee stating reasons why the offer is unacceptable. The executive director or designee shall review and consider the response before making a closure decision.
1.4(4) Mediation. The executive director or designee may conduct an impartial mediation of the complaint by offering the complainant and the respondent an opportunity to negotiate a no-fault predetermination settlement for the purpose of amicably resolving the complaint prior to full investigation.
1.4(5) Investigation. The executive director or designee shall make a prompt investigation of the complaint and issue a recommendation. An administrative hearing officer shall review the recommendation and issue a determination of probable cause or no probable cause.
1.4(6) Anonymity of complaint. For purposes of public commission meetings the complaints shall be identified only by case number so that the anonymity of the complaints and parties can be preserved. Nothing in this provision shall apply to executive sessions of the commissions, or meetings after the commission has made a decision to hold a public hearing.
The rule is intended to implement Iowa Code section 601A. 15.
240 - 20.1(601A) Definitions. The following definitions shall be applied to the rules of this chapter
"Agency" shall mean each board, commission, department, officer, or other administrative office or unit of the state.
"Availability" shall mean the extent to which protected class members are qualified or qualifiable to be employed in an EEO-4 occupational category.
"Disability" shall mean any person who has a physical or mental impairment which substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment, as defined by civil rights commission subrule 6.1(1).
"EE04 occupational categories" shall mean officials and administrators, professionals, technicians, protective service workers, paraprofessionals, office and clerical, skilled craft workers and service maintenance workers, as defined by the federal Equal Employment Opportunity Commission guidelines.
"EE04 income bracket" shall mean the annual salary ranges as defined by the Equal Employment Opportunity Commission and shown in Form AA001. Where employees are paid on other than an annual basis, their regular earnings should be expanded and expressed in terms of an annual income.
"EEO-4 report" shall mean the annual state employment data report as required by the federal Equal Employment Opportunity Commission. This report shall be made available to the agency by the Iowa Merit Employment Department and the Iowa Civil Rights Commission.
"Organizational unit" shall mean those agency units which lend themselves to the most reasonable system of grouping for analysis. These units may not necessarily coincide with an agency's administrative divisions.
"Protected class" shall mean racial or ethnic minorities, sex, age, creed, color, national origin, religion, mental and physical disability.
"Racial or ethnic minorities" shall mean Black, Hispanic, Asian and Pacific Islander, American Indian and Alaskan natives.
"Utilization" shall mean the representation of protected class members within an agency's work force as compared to their availability in the relevant labor force.
mean an agency's full-time employees and other than full-time employees.
240 - 20.2(601A) Affirmative
action requirement. Each
agency shall prepare and implement a written affirmative action plan with
goals and time specifications to meet the requirements of Governor's Executive
Orders Numbers 15 and 46.
240 - 20.3(601A) Planning standards. Each affirmative action plan shall include, but not be limited to, the following standards:
20.3(l) Affirmative action statement. The affirmative action statement shall include, but not be limited to, the following:
a. Policy statement. The policy statement shall be a clear and unambiguous declaration of commitment to the principles of equal employment opportunity and affirmafive action. It shall contain the following or similarly worded language.
(1) The agency prohibits discrimination in its employment policies and practices on the basis of race, creed, color, religion, national origin, sex, age, or mental and physical disability.
(2) The agency is an equal employment opportunity and affirmative action employer.
b. Administration statement. The administration statement shall be a declaration of how the agency's affirmative action policy is to be implemented. It shall contain the following:
(1) The name, job title, and work location of the responsible equal employment opportunity or affirmative action official.
(2) The internal system for auditing and reporting
c. Signature. The affirmative action statement shall be signed and dated by the top administrator of the agency.
20.3(2) Work force analysis. A work force analysis shall show the numerical and percentile breakdown of the agency's full-time employees, and other than full-time employees, separately by racial ethnic minorities, sex, age, and disability. Full-time and other than full-time employees shall be arrayed according to their EEO-4 occupational categories. Full-time employees shall also be arrayed according to their EEO-4 income brackets.
a. Exemptions. The work force analysis shall not include elected officials, such officials' immediate secretary, administrative, legislative, or other immediate or firstline aides, and such officials' legal advisor.
b. Organizational unit. An agency with a large number of employees may conduct a separate work force analysis for each of its organizational units. The organizational units may be determined by the agency based on the size, geographical dispersion and administrative line of authority of its work force.
c. Confidentiality. An agency may suppress work force data which is likely to identify specific employees and violate their confidentiality.
d. Analysis report. The work force analysis shall be reported on Work Force Analysis, Form AA001, available upon request from the Iowa Civil Rights Commission. In lieu of completing all parts of Form AA001, an agency may submit its EEO-4 report or a similar report required by another regulatory agency, such as a federal funding agency, as part of its work force analysis.
20.3(3) Availability analysis. An availability analysis shall show the percentile breakdown by racial or ethnic minorities and sex of the relevant labor force arrayed according to their EEO-4 occupational categories. An agency shall assess the relevant labor force by determining the geographical area from which its work force recruitment can reasonably occur for each EEO-4 occupational category The geographical area will usually be larger for high paid or high ranked classifications for recruitment purposes.
a. Analysis method. The percentile breakdown by racial or ethnic minorities and sex shall be deten-nined by:
(1) The analysis method promulgated by OFCCP 41 Code of Federal Regulations, Chapter 60. Revised Order No. 4, or
(2) The state office for planning and programming's report entitled Race, Sex, and Occupational Make-up of Iowa's 1980 Labor Force, available upon request from the Iowa Civil Rights Commission.
(3) The Iowa Civil Rights Commission may grant exceptions only if an agency can document that its availability analysis is comparable to those provided by subparagraphs (1) and (2) above. Exceptions may include the use of relevant national labor force data for the officials and administrators category.
b. Organizational unit. An availability analysis shall be conducted for each organizational unit by an agency which conducted a separate work force analysis pursuant to subrule 20.3 (2), paragraph "b. "
c. Analysis report. The availability analysis shall be reported on Availability Analysis, Form AA002, available upon request from the Iowa Civil Rights Commission. In lieu of completing all parts of Form AA002, an agency may submit a similar report required by another regulatory agency, such as a federal funding agency, as part of its availability analysis
d. Exemptions. An agency with fourteen or less fulltime and other than full-time employees shall be exempted from the requirements of this subrule.
20.3(4) Quantitative utilization analysis. A quantitafive utilization analysis shall compare work force analysis with availability analysis to show the numerical and percentile underrepresentation in the agency's work force, if any, by racial or ethnic minorities and sex.
a. Rounding. All partial numerical figures that contain .5 or more shall be rounded upward and .49 or less shall be rounded downward to the nearest whole number.
b. Organizational unit. A quantitative utilization analysis shall be conducted for each organizational unit by an agency which conducted a separate work force analysis pursuant to subrule 20.3 (2), paragraph "b. "
c. Analysis report. The quantitative utilization analysis shall be reported on Quantitative Utilization Analysis, Form AA003, available upon request from the Iowa Civil Rights Commission. In lieu of completing all parts of Form AA003, an agency may submit a similar report required by another regulatory agency, such as a federal funding agency, as part of its quantitative utilization analysis.
d. Exemptions. An agency with fourteen or less fulltime and other than full-time employees shall be exempted from the requirements of this subrule.
20.3(5) Qualitative utilization analysis. A qualitative utilization analysis shall show whether and where an agency's employment policies and practices do or tend to exclude, disadvantage, restrict or result in adverse impact on the basis of age, sex, disability and racial or ethnic minorities. It shall also show whether and where effects of prior illegal discrimination are left uncorrected. The analysis may include, but not be limited to, the following areas:
a. Recruitment efforts and methods.
b. Applicant flow characteristics study
c. Interview, selection, appointment, and placement policies and practices.
d. Policies and practices affecting transfers, promotions, and reallocations.
e. Selection of employees for training.
f. Policies and practices in demotion, discipline, termination, and reduction in force.
g. Laws, policies and practices
external to the agency that discourage effective results in affirmative
20.3(6) Goals and timetables. An agency's affirmative action goals and timetables shall specify the appropriate actions and time frames in which problems identified under subrules 20.3(4) and 20.3(5) are targeted to be remedied.
a. Appropriate action. In setting goals, an agency may consider, but not be limited to, the following:
(1) Devising a recruitment program in conjunction with the state recruitment co-ordinating committee sponsored by the Iowa Merit Employment department.
(2) Validating the selection instruments in conjunction with the Iowa Merit Employment department.
(3) Revising and improving other personnel policies and practices.
(4) Providing affirmative action training internally or externally through organizations such as the Iowa Management Training System of the Iowa Merit Employment department
(5) Devising a plan so that the agency personnel who are working in a capacity related to affirmative action can have part or all of their performance evaluated based on their meeting the established goals and timetables.
b. Timetable. Each agency shall determine the timetable in which it expects to meet its goals. In setting timetables, an agency should consider, but not be limited to, the following:
(1) Anticipated vacancies and
(2) Work force turnover rate.
c. Organizational unit. Goals and timetables shall be prepared for each organizational unit by an agency which conducted a separate work force analysis pursuant to subrule 20.3(2), paragraph "b. "
20.3(7) Consolidation. An agency may consolidate the racial or ethnic minorities and EEO-4 occupational categories into broader groupings in conducting its analysis under subrules 20.3(2), 20.3(3), 20.3(4), 20.3(5) and 20.3(6).
a. Applicability. Consolidation is applicable when the agency or organizational unit work force has been analyzed according to all the racial or ethnic minorities or occupational categories, and the resultant figures are determined to be too small for significant statistical analysis.
b. Racial or ethnic minorities. The minority racial or ethnic groups may be consolidated into one single group.
c. Occupational categories. The occupational categories may be consolidated into one or more groups.
20.3(8) Comparable plan. An agency plan which is consistent with 41 Code of Federal Regulations, Chapter 60, Revised Order No. 4, Affirmative Acton Guidelines, issued by the Office of Federal Contract Compliance Programs, shall be considered to be in compliance with the aforementioned planning standards so long as the plan also meets the requirements of subrules 20.3(2), 20.3(5) and 20.3(6).
240 - 20.4(601A) Dissemination. Each agency shall have an internal and external system for disseminating its affirmative action plan.
20.4(l) Affirmative action plan. The plan shall be distributed to agency employees charged with the responsibility for its implementation. The plan shall also be made available to other agency employees and the public upon request.
20.4(2) Affirmative action statement. The statement shall be disseminated in, but not limited to, the following manner:
a. A copy shall be given to
all agency employees.
b. It shall be posted on bulletin boards or other conspicuous places.
c. It shall be distributed to recruiting sources.
240 - 20.5(601A) Reporting. The following reporting shall be required for each agency.
20.5(l) Initial report. Each agency shall submit an affirmative action plan which conforms to the planning standards as set forth in these rules to the Iowa Civil Rights Commission, on or before January 1, 1985.
20.5(2) Update report. After January 1, 1985, each plan shall be updated annually to include a record of all activities undertaken by the agency to effectuate its plan. The same shall be submitted to the Iowa Civil Rights Commission on or before January 1 of each subsequent year, pursuant to Executive Order Number 15.
240 - 20.6(601A) Nondiscrimination. An agency which has adopted an affin-native action plan pursuant to these rules shall not be deemed to have violated Iowa Code chapter 601A by adherence to its affirmative action plan provisions.
These rules are intended to implement Iowa Code sections 601A.5 and 601A. 15.
[Filed 5/24/84, Notice 4/11/84 - published 620/84, effective 7/25/84]