« PreviousContinue »
Order Establishing Standardized Compliance (Revised)
Order No. 14 originally was issued to the heads of ail federal agencies on Jan. 14, 1972, and implemented on July 1, 1972. It was revised and reissued on February 6, 1974, effective April 15, 1974.
The Order was issued in completed form, including clarifying amendments, July 12, 1974. Also added at this time was a "Standard Compliance Review Report," (beginning at page 401:845), which explains the steps compliance officers are required to take in conducting a compliance review.
PART 60-60-CONTRACTOR EVALUA-
60-60.4 Confidentiality and relevancy of information.
60-60.5 Employee interviews. 60-60.6 Exit conference.
60-60.7 Time schedule for completion. 60-60.8 Supersedure.
AUTHORITY: 5 U.S.C. 553(a) (3) (B), 29 CFR 2.7; sec. 201, E.O. 11246, 30 FR 12319, and E.O. 11375, 32 FR 14303.
§ 60-60.1 Purpose and scope.
This part shall be known as "Revised Order No. 14" and is intended to establish standardized contractor evaluation procedures for compliance agencies, in their conduct of compliance reviews of contractors for supplies and services subject to the Equal Employment Opportunity Requirements of 41 CFR 60-1.40 and 41 CFR Part 60-2 (Revised Order No. 4) for the development of written affirmative action programs.
(a) Each prime contractor or subcontractor with 50 or more employees and a contract of $50,000 or more
is required to develop a written affirmative action program for each of its establishments (§ 60-1.40 of this chapter). If a contractor fails to submit an affirmative action program and supporting documents, including the workforce analysis within 30 days of a request therefor, the enforcement procedures specified in OFCC Order No. 4 (§ 60-2.2(c) of this chapter) shall be applicable.
(b) Required affirmative action programs must contain a utilization analysis and goals and timetables as required in 60-2.11 and § 60-2.12 of this chapter.
Subpart B-Procedures for Contractor
§ 60-60.3 Agency actions.
Basic steps-A contractor evaluation should proceed as follows: (1) a desk audit of the contractor's affirmative action program with special attention directed to the included workforce analysis, using the format set forth in the Standard Compliance Review Report, (2) an on-site review of those matters which still are not fully or satisfactorily addressed in the affirmative action program and workforce analysis, using the format set forth in the Standard Compliance Review Report and (3) where necessary, an off-site analysis of information supplied by the contractor during or pursuant to the on-site review. (The standard compliance review report will be published on or before the effective date of this part). Contractors may reach agreement with their respective compliance agencies on nationwide AAP formats or on frequency or updating statistics with the approval of the Director of OFCC.
(a) Desk Audit-Using OFCC approved methods of priority selection, compliance agencies shall routinely request from among the Federal contractors within their jurisdiction affirmative action programs and supporting documentation, including the workforce analysis and support data for audit. As used throughout this part, the term "Affirmative Action Program (AAP) and supporting docu
mentation" means the Required Contents of Affirmative Action Programs, as set forth in Subpart B of 41 CFR Part 60-2 and Methods of Implementing the Requirements of Subpart B, set forth in Subpart C of 41 CFR Part 60-2. "Workforce analysis" is defined as a listing of each job title as appears in applicable collective bargaining agreements or payroll records (not job groups) ranked from the lowest paid to the highest paid within each department or other similar organizational unit including departmental or unit supervision. If there are separate work units or lines of progression within a department a separate list must be provided for each such work unit, or line, including unit supervisors. For lines of progression there must be indicated the order of jobs in the line through which an employee could move to the top of the line. Where there are no formal progression lines or usual promotional sequences, job titles should be listed by department, job families, or disciplines, in order of wage rates or salary ranges. For each job title, the total number of male and female incumbents, and the total number of male and female incumbents in each of the following groups must be given: Blacks, Spanish surnamed Americans, American Indians and Orientals. The wage rate or salary range for each job title should be. given. All job titles, including managerial job titles, must be listed.
Exceptions to the desk audit requirements-For pre-award reviews and for complaint investigations with the approval of the agency Contract Compliance Officer (as defined at § 60-1.6(b)), the desk audit need not be carried out or an abbreviated desk audit may be performed and an immediate on-site review performed. Special reports that meet the criteria in (b)(1) below may be requested from contractors, as required, for submission to the agency for complaint investigations and follow-up reviews performed within 1 year of a full compliance review. The Director may approve other special
compliance reviews when the circumstances require an immediate on-site review.
(b) On-site review-If upon selection of an AAP and included workforce analysis for desk audit, the compliance agency finds that the material submitted does not demonstrate a reasonable effort by the contractor to meet all the requirements of subparts B and C of Order No. 4, (Part 60-2 of this chapter) the on-site review need not be carried out and the enforcement procedures specified in Order 4 shall be applicable.
Otherwise following a desk audit of the affirmative action program and supporting documentation the agency will schedule an on-site review of the establishment, provided, that an onsite review need not be carried out when the agency can determine that the contractor's affirmative action program is acceptable. This determination must be based on the current desk audit and an on-site review conducted within the preceding 24 months and also must include an affirmative determination that the circumstances of the previous onsite review have not substantially changed.
(1) Each agency is to request from those contractors scheduled for onsite reviews that information necessary to perform the review, be made available on-site. Specifically, this includes (1) information necessary to conduct an in depth analysis of apparent deficiencies in the contractors utilization of women or minorities, (li) information required for a complete and thorough understanding of data contained in or offered as support for the affirmative action program and (iii) information concerning matters relevant to a determination of compliance with the requirements of Executive Order 11246 (as amended), but not adequately addressed in the affirmative action program. However, the contractor should be requested to furnish only the specific items of'information which the compliance officer determines are:
(a) Necessary for conducting the re
view and completing the standard compliance review report, and
(b) Not contained in or able to be derived from the material submitted by the contractor.
(2) In order to pursue certain issues uncovered in the compliance review, it may be necessary for the compliance officer to request certain additional information on-site even though such data have not been previously identified. Such additional information must also meet the above criteria.
(c) Off-site analysis-Where necessary, the compliance officer may take information made available during the on-site review off-site for further analysis. An off-site analysis should be conducted where issues have arisen concerning deficiencies or an apparent violation which, in the judgment of the compliance officer, should be more thoroughly analyzed off-site before a determination of compliance is made.
Subpart C-Disclosure and Review of Contractor Data
§ 60-60.4 Confidentiality and relevancy of information.
(a) Desk audit data-If the contractor. is concerned with the confidentiality of such information as lists of employees, employee names, reasons for termination and pay data, then alphabetic or numeric coding or the use of an index of pay and pay ranges are acceptable for desk audit purposes.
(b) On-site data-The contractor must provide full access to all relevant data on-site as required by § 60-1.43 of this chapter.
(c) Data required for off-site analysis-The contractor must provide all data determined by the compliance officer to be necessary for off-site analysis pursuant to § 60-60.3(c) above. Such data may only be coded if the contractor makes the code available to the compliance agency. If the contractor believes that particular information which is to be taken offsite is not relevant to compliance with the Executive Order, the contractor
may request a ruling by the agency Contract Compliance Officer. The contract compliance officer shall issue a ruling within 10 days. The contractor may appeal that ruling to the Director of OFCC within 10 days. The Director of OFCC shall issue a final ruling within 10 days. Pending a final ruling, the information in question must be made available to the compliance officer off-site, but shall be considered a part of the investigatory file and subject to the provisions of paragraph (d) below. The agency shall take all necessary precautions to safeguard the confidentiality of such information until a final determination is made. Such information may not be copied by the agency and access to the information shall be limited to the compliance officer and agency personnel involved in the determination of relevancy. Data determined to be not relevant to the investigation will be returned to the contractor immediately.
(d) Public access to information— Information obtained from a contractor under Subpart B will be subject to the public inspection and copying provisions of the Freedom of Information Act. 5 U.S.C. 552. Contractors should identify any information which they believe is not subject to disclosure under 5 U.S.C. 552, and should specify the reasons why such information is not disclosable. The Contract Compliance Officer will consider the contractors claim and make a determination, within 10 days, as to whether the material in question is exempt from disclosure. The contract compliance officer will inform the contractor of such a determination. The contractor may appeal that, ruling to the Director of OFCC within 10 days. The Director of OFCC shall make a final determination within 10 days of the filing of the appeal. However, during the conduct of a compliance review or while enforcement action against the contractor is in progress or contemplated within a reasonable time, all information obtained from a contractor under Subpart B except information disclosable
TEXT OF FEDERAL LAWS
60-40.2 and 60-40.3 of this title is to be considered part of an investigatory file compiled for law enforcement purposes within the meaning of 5 U.S.C. 552 (b) (7), and such information obtained from a contractor under Subpart B shall be treated as exempt from mandatory disclosure under the Freedom of Information Act during the compliance review.
(e) Examination and copying of documents-Nothing contained herein is intended to supersede or otherwise limit the provisions contained in Part 60-40 of this chapter for public access to information from records of the OFCC or its various compliance agencies.
$60-60.5 Employee interviews.
The compliance officer should contact, where appropriate, a reasonable number of employees for interviews as part of the on-site review of the contractors' employment practices. The number, scope and manner of conducting such interviews should be discussed in advance with the contractor.
$60-60.6 Exit conference.
(a) Upon completion of the on-site review (and off-site analysis, if one is undertaken) the compliance officer should schedule an exit conference with contractor officials to review the findings of the review. This exit conference should itemize the apparent violations that lend themselves to immediate correction, and solicit the contractor's agreement to take adequate corrective action by specified dates. The contractor's commitments should be contained in a written conciliation agreement signed at the exit conference. However, in cases where the apparent deficiencies require further analysis subsequent to the onsite review, the compliance officer will advise the contractor of the areas of concern, secure the data necessary to his ultimate compliance determination, complete the review later by notifying the contractor in writing of all apparent violations found, and ob
tain the contractor's commitments in a written conciliation agreement to correct such deficiencies.
(b) The contractor may at any time avail himself of the provisions of § 60-1.24 (c) (4) of this chapter which provides as follows:
When a prime contractor or subcontractor, without a hearing, shall have complied with the recommenda- . tions or orders of an agency or the Director and believes such recommendations or orders to be erroneous, he shall upon filing a request therefor within 10 days of such compliance, be afforded an opportunity for a hearing and review of the alleged erroneous action by the agency or the Director.
$60.60.7 Time schedule for completion.
(a) With the exception of extensions of time granted by the Director of OFCC for good cause shown, within 60 days from the date the affirmative action program, including the workforce analysis, is received by the agency, the compliance agency must either have found the contractor in compliance and notified the contractor of that fact, or must have issued a 30-day show cause notice as required under the rules and regulations pursuant to the Executive Order.
(b) During this period the compliance agency shall
(1) Complete the desk audit. (2) Schedule the on-site review. (3) Complete the on-site review. (4) Complete the off-site analysis, if conducted.
(5) Give notice of compliance or issue show cause notice.
(6) Complete and forward the coding sheet to OFCC.
(c) A contractor's affirmative action plan may be accepted only after the coding sheet has been forwarded to OFCC. The coding sheet is the notification required by § 60-2.2(a) (2) of this chapter. Failure of the
compliance agency to give the contractor a notice of compliance or issue a show cause notice within the time period set forth in paragraph (a) shall not be deemed a finding of compliance or acceptance of the contractor's affirmative action program by the compliance agency.
§ 60-60.8 Supersedure.
The requirements of this part 6060 supersede the prior version of Revised Order No. 14 published at 38 FR 13375, May 21, 1973.
§ 60.-60.9 Attachments.
The following formats are set out in full as they give detailed information as to procedures and requirements of value to contractors:
STANDARD COMPLIANCE REVIEW REPORT
The purpose of these guidelines is to provide compliance officers with a systematic standardized approach to the conducting of a compliance review and the preparation of a comprehensive report under Revised Order No. 14. It is not meant to be an all inclusive or an inflexible document to be used in sequence in the actual conducting of a compliance review, but is an effort to point out the essential elements that should at least be addressed in all such efforts. An analysis of the affirmative action program and support data is required of each contractor facility targeted for review. The purpose of your analysis is to determine if the contractor is in compliance with the requirements of Executive Order 11246, as amended, and the implementing regulations. If your analysis identifies deficiencies, the reasons or possible reasons (including past or present personnel policies or practices) why certain deficiencies exist should be identified and evaluated as well as the appropriateness of the actions the contractor has taken or plans he intends to take. This will enable you to make a de
termination of whether or not the contractor is in compliance with the Executive Order.
In preparing the actual written report for official submission (which is subject to review by the Office of Federal Contract Compliance), the information must be presented in the prescribed format irrespective of the agency originating the review. The prescribed format is the various items listed below in the order in which they are listed. Instructions for the analysis for each heading are found in the Desk Audit Section, or in the on-Site Review Section of these guidelines.
Part A. Desk Audit Section
III. Recruitment, Hiring, Selection and Placement
IV. Promotion and Transfer
VI. Analysis of Jobs with Substan-
Part B. On-Site Review
I. Identifying Information II. Community Survey III. Initial Contact with Contractor IV. EEO Policies and Procedures V. Recruitment, Hiring, Selection and Placement
VI. Promotion and Transfer
VIII. Supervisory Positions
X. Analysis of Jobs with Substan-
XI. Training and Educational Opportunities
XII. Goals and Timetables XIII. Religious and National Origin Discrimination
In addition, no review is completed until the Coding Sheet is forwarded to OFCC. The Coding Sheet provides the necessary instructions for its completion.
Part A. Desk Audit Section I. Identifying Information