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									OFCCP Compliance
   Evaluation 101

                       Sandra M. Dillon, Branch Chief
    Office of Federal Contract Compliance Programs
                      Division of Program Operations
                                        (202) 693-1079
        Workshop Objective

• What to expect during a Compliance
  – 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

• Ensure compliance with Executive Order

• I-9 Documentation
         How OFCCP Works
• Conducts Compliance
  –   Pre-Award Review
  –   Offsite Review of Records
  –   Focused Review
  –   Full Compliance Review
  –   Compliance Check

• Conducts Complaint
       Identifying Contractors
     for Compliance Evaluations
• Federal Contractor
  Selection System

• Pre-awards

• Class Complaints

• Progress Report
Compliance Evaluation Overview

Scheduling   Desk Audit


             Desk Audit
• Review AAP for
  inclusion of items,
  reasonableness and

• Conduct statistical
  analyses for potential
  systemic indicators
      AAP Acceptable?

• Higher standard

• Text Only –
  must still be
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
  – 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

Job Groups Must Permit Meaningful

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
     • 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
    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

• No sex and/or minority
   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
Impact Ratio Analysis
Group Exercise
Impact Ratio Analysis

        Group Exercise
Group Exercise
• 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

• Conciliation Agreement
  – Part I – General
  – Part II – Specific Violations
  – Part III - Reporting
  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

• 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
• 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
  – OFCCP-Public@dol.gov

• Does not trigger evaluation

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