Transcript OFCCP Compliance Evaluation 101

OFCCP Compliance
Evaluation 101
Sandra M. Dillon, Branch Chief
Office of Federal Contract Compliance Programs
Division of Program Operations
(202) 693-1079
[email protected]
Workshop Objective
• What to expect during a Compliance
Evaluation
– Desk Audit
– Onsite
– Offsite
• How to self-audit your own AAP
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
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
How OFCCP Works
• Conducts Compliance
Evaluations
–
–
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Pre-Award Review
Offsite Review of Records
Focused Review
Full Compliance Review
Compliance Check
• Conducts Complaint
Investigations
Identifying Contractors
for Compliance Evaluations
• Federal Contractor
Selection System
• Pre-awards
• Class Complaints
• Progress Report
Violations
Compliance Evaluation Overview
Scheduling
Letter
Desk Audit
Onsite
Investigation
Closure
Desk Audit
• Review AAP for
inclusion of items,
reasonableness and
acceptability.
• Conduct statistical
analyses for potential
systemic indicators
AAP Acceptable?
• Higher standard
• Text Only –
implementation
must still be
evaluated
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.
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
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
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
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.
Key Tip
Job Groups Must Not Obscure
Underutilization
Job Groups Must Permit Meaningful
Analyses
Job Groups Should Not Normally Cross
EEO Categories
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
Utilization Analysis Acceptable?
• Utilization Analysis
– 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
Goals Reasonable?
• Current Goals that
attempt to
establish goals for
those job groups
identified as
underutilized.
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
Support Data Not Acceptable
• Aggregations larger than job
group
• No sex and/or minority
indicators
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…”
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.
Impact Ratio Analysis
Group Exercise
Impact Ratio Analysis
Group Exercise
Group Exercise
Onsite
• Opening Conference
• Review of personnel
activity data
• Interviews
• Closing Conference
• Offsite, as needed
Support Data
• Report on goals
• Applicant Flow
• Hires
• Promotions
• Terminations
Systemic Findings
• Predetermination Notice or Notice of
Violation
• Conciliation Agreement
– Part I – General
– Part II – Specific Violations
– Part III - Reporting
Recap
EO 11246 AAP Requirements
• Organizational Profile
– Organizational Display
– Workforce Analysis
• Job Group Analysis
• Determining Availability
• Comparing Incumbency to Availability
• Placement Goals
EO 11246 AAP Requirements
(Continued)
• Designation of Individual
Responsible for Implementation
• Identification of Problem Areas
• Action-Oriented Programs
• Periodic Internal Audits
503/4212 AAP Requirements
• Policy Statement
• Review of Personnel Processes
• Physical and Mental Qualifications
• Reasonable Accommodations to
Physical and Mental Limitations
• Anti-harassment Statement
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)
Best Practices
Compliance Assistance Resources
• Visit OFCCP’s website
– http://www.dol.gov/esa/ofccp/index.htm
• Attend an OFCCP Seminar or Workshop
– Calendar Online
• Call or Email for Individual Assistance
– 1-866-4-USA-DOL
– [email protected]
• Does not trigger evaluation