Racial and Gender Diversity in State DOTs and Transit Agencies (2007)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

44 The EEOC prepared a report, Best Practices of Private Sec- tor Employers (EEOC 1997), which summarizes the best prac- tices of numerous private sector employers in terms of recruitment and hiring, promotion and career advancement, terms and conditions of employment, termination and downsizing, alternative dispute resolution, policies and pro- grams as well as management commitment and accountabil- ity. The report defines a best practice as one that • Complies with the law; • Promotes equal employment opportunity and addresses one or more barriers that adversely affect equal employ- ment opportunity; • Manifests management commitment and accountability; • Ensures management and employee communication; • Produces noteworthy results; and • Does not cause or result in unfairness. (EEOC 1997) In addition to defining a best practice, the report also presents a conceptual framework based on the approaches taken by the organizations that were identified as having the best practices. The organizations highlighted in the report (EEOC 1997) are said to have used the “SPLEN- DID” Approach, which stands for STUDY, PLAN, LEAD, ENCOURAGE, NOTICE, DISCUSSION, INCLUSION, and DEDICATION. The “Splendid” Approach (EEOC 1997) STUDY Since one cannot solve problems that one doesn’t know exists, know the law, the standards that define one’s obligations, and the various barriers to EEO and diversity. Assistance can be obtained from EEOC, professional consultants, associations or groups, etc. PLAN Know one’s own circumstances (workforce and demographics—locally, nationally, and globally). Define one’s problem(s), propose solutions, and develop strategies for achiev- ing them. LEAD Senior, middle, and lower management must champion the cause of diversity as a business imperative, and provide leadership for suc- cessful attainment of the vision of a diverse workforce at all levels of management. ENCOURAGE Companies should encourage the attain- ment of diversity by all managers, supervi- sors, and employees, and structure their business practices and reward systems to reinforce those corporate objectives. Link pay and performance not only for technical competencies, but also for how employees interact, support, and respect each other. NOTICE Take notice of the impact of your practices, after monitoring and assessing company progress. Self-analysis is a key part of this process. Ensure that a corrective strategy does not cause or result in unfairness. DISCUSSION Communicate and reinforce the message that diversity is a business asset and a key element of business success in a national and global market. INCLUSION Bring everyone into this process, including White males. Help them understand that EEO initiatives are good for the company and, thus, good for everyone in the com- pany. Include them in the analysis, plan- ning, and implementation. DEDICATION Stay persistent in your quest. Long term gains from these practices may cost in the short term. Invest the needed human and capital resources. A P P E N D I X E Best Practices

Based on the review of the state DOT and transit files, as well as a review of the available literature, the research team identified agencies and companies that appear to imple- ment best practices in their equal employment opportunity efforts. Public Sector The state DOTs and transit agencies that exhibited the best practices were those agencies that met the four-pronged framework of compliance, consistency, comprehensiveness, and confidence. These agencies were compliant in that they submitted an EEO-4 and/or FHWA-1392 form, as required by law; collected data consistent with the EEO categories; developed a comprehensive affirmative action plan, includ- ing a detailed utilization and availability analysis, as well as an analysis of the application flow; and were able to exhibit con- fidence in their data due to the implementation of a continu- ous review and internal monitoring system. Although many of the agencies are doing a good job, the Virginia Department of Transportation was one of the agencies that satisfied the four Cs. Virginia DOT The Virginia Department of Transportation met the four- pronged framework of compliance, consistency, comprehen- siveness, and confidence. This agency’s affirmative action plan showed a sincere commitment to diversity, an under- standing of how to create a diverse workforce, and the importance of making sure the entire organization is held accountable for achieving diversity. The DOT commissioner evidenced his commitment to diversity by stating I am committed to the goal of affirmative action, and expect for each manager, supervisor and employee to embrace the goal. The responsibility for affirmative action will be expected and shared by all management personnel. You will be held account- able for your actions in the area and will be evaluated on carry- ing out these responsibilities. Achieving diversity goals is not just the responsibility of those individuals or departments specifically charged with affirmative action duties, rather the Commissioner himself also takes responsibility for achieving these goals: The success of any organization’s programs ultimately rests with the head of the organization. As head of the Virginia De- partment of Transportation, the Commissioner is charged with responsibility and authority for ensuring that VDOT is a place where employees and applicants for employment can participate in VDOT’s employment processes and programs without regard to personal characteristics. And where employees are valued for 45 their professional contributions and the diversity of experience and thought they bring to the workplace. The Commissioner has vested and shares this authority and responsibility with the Civil Rights Division Administrator who is designated as the chief Affirmative Action Officer for VDOT. The Virginia DOT has several programs in place designed to assist the agency in recruiting minority talent: • Engineer Development Program—This 24-month devel- opment program provides valuable experience and hands- on training in engineering. Graduates play a vital role in roadway design and construction, while enabling partici- pants to choose a career path that focuses on a specific goal. Upon completion of the program, participants are eligible for a highly responsible position in field management at a VDOT residency or district office, where they will be involved in construction, project, or maintenance admin- istration of a multi-county area. • Engineering Scholarship Program—A scholarship stipend of $7,000 per year ($3,500 each semester) is available to ris- ing sophomores, juniors, and seniors. Summer employ- ment under the supervision of a designated mentor at VDOT begins the summer before the first scholarship award. If qualified, participants may gain full-time em- ployment as an associate engineer at a VDOT location upon graduation. • Summer Transportation Institute Program—VDOT con- tinues its participation in the Summer Transportation In- stitute Program hosted by Virginia State University and Hampton University. During this intensive four-week res- idential program, high school students were introduced to a variety of interdisciplinary careers that contribute to the building and management of highways and bridges. The agency also has a very good monitoring and evaluation system in place. • An internal reporting system has been developed to con- tinually audit, monitor, and evaluate programs, which are essential to the success of the affirmative program. This system provides for the establishment of affirmative action plan action items, EEO goals, timetable, and periodic eval- uations, which will be monitored by the affirmative action officer. • Statistics are maintained using the five major racial/ gender groups, categorized by EEO-4 occupational cate- gories. Reports are regularly provided to the affirmative action officer and the district civil rights managers. These reports contain agency-wide statistical data for new hires, promotions, terminations, training, and overall employment.

• Status reports are provided throughout the year to the affirmative action officer by the district civil rights managers. The status reports will contain an analysis of the statistical data for the district, results achieved toward established objectives, the identification of particular problems encountered and recommendations for corrective actions needed. • As a part of the goal setting process, the Affirmative Action Officer will utilize the comparative employment analysis to compare the rate of VDOT’s employment of females and minorities within the various EEO-4 categories with the employment of females and minorities in corresponding categories in the labor market area relevant to that work force. In order to develop parity within the workforce, the affirmative action officer will utilize the results of this analysis to establish objectives within the agency with timetables for accomplishment. • Application of the four-fifths rule is used to determine whether there is evidence of adverse impact. • VDOT recognizes the fact that affirmative action is a means to an end. • The applicant tracking system (PaRTS) has been imple- mented and is being used to monitor the application process from receipt of the application until final selection for each position. • Data regarding the availability of minorities and females in the civilian work force for the current affirmative action plan was obtained from the United States Census Bureau’s 2000 EEO Tabulations, EEO data tools, employment by state and local occupation groups for the state of Virginia. This data gives a benchmark of the civilians that are considered to be employable by the Bureau by position. This data was compared to current VDOT employment data by occupational groups, gender and race for the period of July 1, 2003. One of the reasons why the Virginia DOT seems to have such an effective EEO program could be related to the fact that it has over 10 staff members in the Civil Rights Division. Other agencies likely have a smaller staff. Canada Since many researchers have concluded that it is not necessary for an organization to limit its comparison group to 46 Ohio DOT Templates for EEO Reporting (adapted from the Ohio Department of Transportation) Utilization Analysis Race/Gender (ie. White Females) Census Census DOT DOT DOT Results Results Job Category %White Females (Census) 80% of Available (Census) %White Females in DOT # of White Females (at end of FY) Total Employees in Occ. Group Underutilization? Distance from Parity (# of Minorities) Officials and Managers Professionals Technicians Protective Services Administrative Support Skilled Craft Service Maintenance

an organization in the same industry, it is appropriate to not only review best practices in other industries, but also other countries. Canada prepared a very comprehensive report, Employment Equity in the Federal Public Service 2003–2004 (Public Service Human Resources Management Agency of Canada 2005), which provides a very thorough analysis of the country’s availability and utilization of women and minorities. The first chapter of the report addresses where the country is today by providing a statistical overview of the status of women and minorities. It also provides information on the country’s progress toward achieving employment equity. It includes the results of an availability analysis for women, aboriginals, visible minorities, and people with disabilities overall and then broken down by hiring and promotion for the period 1988 through 2004 (Public Service Human Resources Management Agency of Canada 2005). Since the report provides an analysis for several years, it allows them to track their progress toward achieving their employment goals. The benchmarking process is discussed in the report. The report specifically addresses benchmark setting and achievement, accountability, and cultural change. In the report, benchmarks are defined as “targets” that “measure progress toward goals that an organization has set for itself” (Public Service Human Resources Management Agency of Canada 2005). The report acknowledges that benchmarking cannot take place in a vacuum and must “take into account the realities of an organization’s operations.” It also rec- ognizes that the public sector must address issues that the private sector might not have to address such as merit and civil service issues. Nevertheless, the report indicates that benchmarks should “complement the concept of merit by ensuring that the public service workforce is qualified and representative, reflecting the diversity of Canadian society and the pools from which employees are drawn” (Public Service Human Resources Management Agency of Canada 2005). The Canadian government ties diversity goals to per- formance evaluations. According to the Public Service Human Resources Management Agency of Canada (2005), one of the objectives for the year is, “integrating employment equity measures into management accountability frameworks, human resources and business plans, and ensuring that employment equity is an integral part of human resources modernization.” In Canada, they also have internal mon- itoring. One agency monitors their results “twice yearly with analysis of key indicators such as EE representation at the sector and branch level, the number of staffing actions taken, and eligibility for retirement (Public Service Human Resources Management Agency of Canada 2005). In addition to the internal monitoring process, the Canadian Human Rights Commission audits departments and agencies for compliance 47 New Hire Analysis Non- Minority Non-Minority Non-Minority Minority Minority Minority Result Job Category # Non- Minority Hired # of Non- Minority Applicants Non-minority Selection Rate # of Black females hire # of Black female applicants Black female selection rate Adverse Impact? Officials and Managers Professionals Technicians Protective Services Administrative Support Skilled Craft Service Maintenance

with the Employment Equity Act, which is similar to the United States’ Civil Rights Act. The Task Force on the Participation of Visible Minorities in the Federal Public Service provided an action plan for increasing the participation of minorities. The action plan suggested that the following steps be taken: • Set 1 in 5 benchmarks for visible minority participation in Public Service—wide staffing actions (i.e., recruitment, acting appointments, promotion, and development op- portunities at executive levels). • Create support tools to help departments and managers achieve the benchmarks. • Change the corporate culture in the Public Service to make it welcoming of diversity. • Develop mechanisms to strengthen existing implementation and accountability frameworks. • Seek external advice and independent review of imple- mentation. • Provide financial resources to support implementation. Holding managers accountable for results is considered a key component for being able to achieve the diversity benchmarks. According to the report, holding managers accountable for diversity benchmarks will require a change in culture. In order to hold middle managers accountable, middle managers are provided with tools that • Demonstrate the commitment of senior management; • Debunk myths regarding the hiring of visible minority employees; • Recognize, share and reward good practices in visible minority recruitment; and • Explain the sanctions that managers who do not meet their hiring obligations will face. Another key factor in helping departments achieve diversity goals is funding. “The Treasury Board Ministers approved up to $30 million in funds for the Employment Equity: Embracing Change Support Fund during the first three years. This initial funding was intended to develop infrastructure and support both central agency and departmental initiatives” (Public Service Human Resources Management Agency of Canada 2005). Department of Interior The research team identified the Department of Interior in the discussion of best practices, not because it is a good example of an agency that has a diverse workforce and fully utilizes women and minorities, but because it has implemented a good process for trying to achieve the goal of having a diverse workforce and making sure women and minorities are fully utilized within the agency’s workforce. The Department of Interior has shown a commitment to diversifying its workforce. It developed a presentation that includes information about what successful agencies have in common with regard to equal employment opportun- ity programs. According to the presentation, successful agencies • Communicate importance from the top; • Include an EEO performance element in the performance standards of managers and supervisors; • Create cross-functional teams to work on various problems/barriers; • Meet regularly with EEO officials and agency leadership to relay progress; • Meet regularly with EEO officials and counterparts from agencies of a similar size to share ideas and resources; • Provide extensive EEO training to all new employees; and • Review EEO policy and EEO performance elements within one month of an individual gaining supervisory status.1 In addition to developing this presentation of best practices, the Department of Interior also developed a strategic plan that specifically addresses diversity. The plan, Strategic Plan for Achieving and Maintaining a Highly Skilled and Diverse Workforce FY 2005–2009, has five major focus areas: • Educate managers, supervisors, and employees regarding the importance of a highly skilled and diverse workforce. • Step up recruitment efforts for a diverse workforce. • Improve retention of a diverse workforce. • Have zero tolerance for discrimination, harassment, and retaliation. • Ensure accountability for improving diversity. (U.S. Department of Interior 2005) The Department plans to use statistics to measure the Department’s success in achieving a diverse workforce: Success in achieving this will be measured by statistical analysis of the Bureaus’ and Offices’ (1) applicant flow data by race, national origin, disability, and sex for permanent and temporary employment; (2) increased participation rates by race, national origin, disability, and sex in mission critical occupations and leadership ranks, in comparison with the relevant Civilian Labor Force (RCLF)1; and (3) diversity projections identified in Bureau/ Office workforce plans. (U.S. Department of Interior 2005, p. 16) 48 1The Best of the FY 2004 MD-715 Reports

The Department developed a detailed list of action steps, established corresponding performance measures, and identified the officials responsible for achieving each step. A few of the action steps and performance measures are provided below: Private Sector IBM IBM (International Business Machines Corporation) is listed in the EEOC’s Best Practices of Private Sector Employers (EEOC 1997). It is included in this list because it has exhibited a commitment to diversity for many years. IBM is considered a leader in diversity because: It demonstrated its commitment to equal employment opportunities before Title VII was passed. In 1962, two years prior to the enactment of Title VII, IBM joined “the federal government’s “Plans for Progress”—a voluntary effort to aggressively promote and implement equal employment opportunity. According to the EEOC report: • In 1962, “IBM’s minority population totaled 1,250, or 1.5% of its U.S. workforce. By the end of 1996, minorities had increased to more than 22,000 regular employees, or 19.4%.” • IBM has not only seen an increase in the number of minority employees, but it has also seen an increase in the number of women. Between 1962 and 1996, “the number of women regular employees grew to over 33,400 or 29.4%. More than 4,100 women and more than 2,200 minority employees held management positions at the end of 1996; and of these, more than 2,400 were in senior management.” 49 Action Performance Measure Responsible Officials Increase workforce participation of women, minorities, and people with disabilities. Percent age of diversity increased in the applicant pool of people applying for employment across the Department Bureau Managers and Supervisors Train managers and supervisors in use of available personnel tools, authorities, regulations, and procedures. Percentage of managers and supervisors trained on personnel tools, authorities, regulations and procedures Bureau Managers, Supervisors and HR Officials Develop and use targeted recruitment plans to expand pool of qualified applicants. Bureau Managers and Supervisors Maintain a tracking system for applicant flow data by race, national origin, sex, disability, and related disposition. Bureau HR and EEO Officials Evaluate statistical analyses of permanent and temporary workforce participation rates by grade level and race, national origin, sex, and disability; and rates of selection for promotions, training opportunities and performance incentives. Percentage of improvement in the retention of women, minorities, and people with disabilities Bureau Manages and Supervisors

• “Women were first placed in professional positions in 1936, and the first woman vice president was named in 1943. • The first Black sales representative was hired in 1946, and a Black engineering manager was named in 1956. • IBM’s first written statement of equal opportunity, which reinforced its commitment to nondiscriminatory hiring practices, was published in 1953, more than a decade before the landmark Civil Rights Act of 1964.” • IBM says that it sets goals by job groups, and the goals are based on the populations in the feeder groups—those jobs from which the company typically recruits to fill particular positions. • The company indicates that goals are not quotas. In hiring and promoting, goals are flexible and require good faith efforts on the part of IBM managers. 50