1. OFCCP Compliance Evaluation 101 Sandra M. Dillon, Branch Chief
Office of Federal Contract Compliance Programs
Division of Program Operations
(202)

2. Workshop Objective What to expect during a Compliance Evaluation
Desk Audit
Onsite
Offsite
How to self-audit your own AAP

3. About OFCCP
Network of 6 regional offices and 50+ district and area offices
More than 600 employees nationwide
Reviews personnel practices of federal contractors and subcontractors through compliance audits
Audits 4,000-10,000 contractor establishments annually

4. OFCCP’S Mission
Ensure federal contractors comply with the laws and regulations requiring nondiscrimination and affirmative action:
Executive Order 11246
Section 503 of the Rehabilitation Act
VEVRAA
Ensure compliance with Executive Order 13201
I-9 Documentation

5. How OFCCP Works Conducts Compliance Evaluations
Pre-Award Review
Offsite Review of Records
Focused Review
Full Compliance Review
Compliance Check
Conducts Complaint Investigations

6. Identifying Contractors for Compliance Evaluations
Federal Contractor Selection System
Pre-awards
Class Complaints
Progress Report Violations

7. Compliance Evaluation Overview
Scheduling Letter
Desk Audit
Onsite Investigation
Closure

8. Desk Audit
Review AAP for inclusion of items, reasonableness and acceptability.
Conduct statistical analyses for potential systemic indicators

9. AAP Acceptable? Higher standard
Text Only – implementation must still be evaluated

10. Workforce Analysis Reasonable?
Workforce Analysis lists all jobs at the establishment by title (not job group, EEO-1 category, etc.) and organizational unit, showing total employees, total women, and total minorities for each job title.

11. Workforce Analysis Acceptable?
Acceptable - Workforce Analysis must contain:
Listing of each job title
Wage rate or salary range order
Within each department or organizational unit, including supervision
Where separate work unit or lines of progression, a separate listing must be provided

12. Utilization Analysis Reasonable?
Utilization Analysis includes
Job group that attempts to combine job titles into job groups (similar content, wage, opportunities), and by organizational unit, showing total employees, total women, and total minorities for each job title.
Availability Analyses that attempts to establish separate availability estimates for minorities and women for each job group
Underutilization Determination that compares availability to current incumbency

13. Job Groups Acceptable? Job Groups must be: Similar work content
Appropriate EEO category
Dictionary of Occupational Titles
Similar rates of pay
Similar opportunities
Job in separate unions
Job in lines of progression

14. Job Groups Acceptable? (cont’d)
Similar refers to the duties and responsibilities of the job.
Cross reference with EEO categories
Cross reference with Dictionary of Occupational Titles, Labor Agreements
Similar rate of pay
Determine opportunity, lines of progression, etc.

15. Key Tip Job Groups Must Not Obscure Underutilization
Job Groups Must Permit Meaningful Analyses
Job Groups Should Not Normally Cross EEO Categories

16. Availability Analysis Acceptable?
Availability Analysis must:
Contain proper definition of labor area
Six tied to contractor’s definition of labor areas, e.g., availability of min/females in the surrounding area; immediate, reasonable. Those min/fem seeking employment, size of min/fem unemployment force, etc.
Show consideration of all eight factors
Factors must reflect actual recruitment pattern and practice
Entry level = workforce participation rate
Some skill = requisite skill for reasonable recruitment area
Internal = min/fem in the workplace

17. Utilization Analysis Acceptable?
Compare availability to incumbency
Must set goals for job groups that are determined underutilized of minorities and females
Different methods, 80%, 2SD, whole person, etc. to determine if underutilized
GOALS ARE NOT QUOTAS

18. Goals Reasonable?
Current Goals that attempt to establish goals for those job groups identified as underutilized.

19. Acceptable Support Data
Prior and current AAP year
All personnel activity – Hires, Promotions, Transfer, Termination, Lay-off
Must reflect Race and Gender
Must be by Job Group or Job Title
May be submitted in the form available

20. Support Data Not Acceptable
Aggregations larger than job group
No sex and/or minority indicators

21. 41 CFR Part 60-3 requires that contracts…maintain and have available for inspection records or other information which will disclose the impact which its …selection procedures have upon the employment opportunities of persons by identifiable race, sex, or ethnic groups…”

22. Impact Ratio Analysis Conducted for each personnel action
Method for identifying the rate of selection for each group
Selection rate which is less than 80%, and more than two standard deviations for the favored group, is investigated further.

23. Impact Ratio Analysis

24. Group Exercise

25. Impact Ratio Analysis
Group Exercise

26. Group Exercise

27. Onsite Opening Conference Review of personnel activity data Interviews
Closing Conference
Offsite, as needed

28. Support Data Report on goals Applicant Flow Hires Promotions
Terminations

29. Systemic Findings Predetermination Notice or Notice of Violation
Conciliation Agreement
Part I – General
Part II – Specific Violations
Part III - Reporting

30. Recap

31. EO 11246 AAP Requirements Organizational Profile Job Group Analysis
Organizational Display
Workforce Analysis
Job Group Analysis
Determining Availability
Comparing Incumbency to Availability
Placement Goals

32. EO 11246 AAP Requirements (Continued)
Designation of Individual Responsible for Implementation
Identification of Problem Areas
Action-Oriented Programs
Periodic Internal Audits

33. 503/4212 AAP Requirements Policy Statement
Review of Personnel Processes
Physical and Mental Qualifications
Reasonable Accommodations to Physical and Mental Limitations
Anti-harassment Statement

34. 503/4212 AAP Requirements (Continued)
External Dissemination of Policy, Outreach and Positive Recruitment
Internal Dissemination of Policy
Audit and Reporting System
Responsibility for Implementation
Training
Job Listing (4212)

35. Best Practices

36. Compliance Assistance Resources
Visit OFCCP’s website
Attend an OFCCP Seminar or Workshop
Calendar Online
Call or for Individual Assistance
USA-DOL
Does not trigger evaluation