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urges all State and local governments (b) A recruitment program designed to develop and implement results ori- to attract qualified members of the ented affirmative action plans which group in question; deal with the problems so identified. (c) A systematic effort to organize

The following paragraphs are in work and redesign jobs in ways that tended to assist State and local gov

provide opportunities for persons lackernments by illustrating the kinds of

ing “journeyman” level knowledge or analyses and activities which may be

skills to enter and, with appropriate appropriate for a public employer's

training, to progress in a career field; voluntary affirmative action plan.

(d) Revamping selection instruments This statement does not address reme

or procedures which have not yet been dies imposed after a finding of unlaw

validated in order to reduce or elimi

nate exclusionary effects on particular ful discrimination.

groups in particular job classifications; (2) Voluntary affirmative action to

(e) The initiation of measures deassure equal employment opportunity

signed to assure that members of the is appropriate at any stage of the em

affected group who are qualified to ployment process. The first step in the

perform the job are included within construction of any affirmative action

the pool of persons from which the seplan should be an analysis of the em

lecting official makes the selection; ployer's work force to determine (f) A systematic effort to provide whether precentages of sex, race, or

career advancement training, both ethnic groups in individual job classifi

classroom and on-the-job, to employcations are substantially similar to the ees locked into dead end jobs; and precentages of those groups available (g) The establishment of a system in the relevant job market who possess for regularly monitoring the effectivethe basic job-related qualifications. ness of the particular affirmative

When substantial disparities are action program, and procedures for found through such analyses, each ele- making timely adjustments in this ment of the overall selection process program where effectiveness is not should be examined to determine demonstrated. which elements operate to exclude

(4) The goal of any affirmative persons on the basis of sex, race, or action plan should be achievement of ethnic group. Such elements include, genuine equal employment opportunibut are not limited to, recruitment, ty for all qualified persons. Selection testing, ranking certification, inter

under such plans should be based view, recommendations for selection,

upon the ability of the applicant(s) to hiring, promotion, etc. The examina

do the work. Such plans should not retion of each element of the selection

quire the selection of the unqualified, process should at a minimum include a

or the unneeded, nor should they redetermination of its validity in predict

quire the selection of persons on the

basis of race, color, sex, religion, or naing job performance.

tional origin. Moreover, while the (3) When an employer has reason to

Council believes that this statement believe that its selection procedures

should serve to assist State and local have the exclusionary effect described

employers, as well as Federal agencies, in paragraph 2 above, it should initiate

it recognizes that affirmative action affirmative steps to remedy the situa

cannot be viewed as a standardized tion. Such steps, which in design and

program which must be accomplished execution may be race, color, sex, or

in the same way at all times in all ethnic "conscious,” include, but are

places. not limited to, the following:

Accordingly, the Council has not at(a) The establishment of a long-term

tempted to set forth here either the goal, and short-range, interim goals minimum or maximum voluntary and timetables for the specific job steps that employers may take to deal classifications, all of which should with their respective situations. take into account the availability of Rather, the Council recognizes that basically qualified persons in the rele- under applicable authorities, State vant job market;

and local employers have flexibility to

formulate affirmative action plans that are best suited to their particular situations. In this manner, the Council believes that affirmative action programs will best serve the goal of equal employment opportunity. Respectfully submitted,

Harold R. Tyler, Jr., Deputy Attorney General and Chairman of

the Equal Employment Coordinating Council

Michael H. Moskow, Under Secretary of Labor.

Ethel Bent Walsh, Acting Chairman, Equal Employment Opportunity Commission.

Robert E. Hampton, Chairman, Civil Service Commission.

Arthur E. Flemming, Chairman, Commission on Civil Rights. Because of its equal employment opportunity responsibilities under the State and Local Government Fiscal Assistance Act of 1972 (the revenue sharing act), the Department of Treasury was invited to participate in the formulation of this policy statement; and it concurs and joins in the adoption of this policy statement. Done this 26th day of August 1976.

Richard Albrecht,

General Counsel,
Department of the Treasury.

tion to the regulations of that agency can be added at the end of the above citation. The specific additional citations are as follows: Equal Employment Opportunity Commission

29 CFR Part 1607 Department of Labor Office of Federal Contract Compliance Programs

41 CFR Part 60-3 Department of Justice

28 CFR 50.14 Civil Service Commission

5 CFR 300.103(c) Normally when citing these guidelines, the section number immediately preceding the title of the guidelines will be from these guidelines series 118. If a section number from the codification for an individual agency is needed it can also be added at the end of the agency citation. For example, section 6A of these guidelines could be cited for EEOC as follows: “Section 6A, Uniform Guidelines on Employee Selection Procedures (1978); 43 FR -- (August 25, 1978); 29 CFR Part 1607, section 6A.”



$ 60-3.18 Citations.

The official title of these guidelines is Uniform Guidelines on Employee Selection Procedures (1978)". The Uniform Guidelines on Employee Selection Procedures (1978) are intended to establish a uniform Federal position in the area of prohibiting discrimination in employment practices on grounds of race, color, religion, sex, or national

insey or national origin. These guidelines have been adopted by the Equal Employment Opportunity Commission, the Department of Labor, the Department of Justice, and the Civil Service Commission.

The official citation is:

“Section --, Uniform Guidelines on Employee Selection Procedure (1978); 43 FR -- (August 25, 1978)."

The short form citation is:

“Section --, U.G.E.S.P. (1978); 43 FR -- (August 25, 1978)."

When the guidelines are cited in connection with the activities of one of the issuing agencies, a specific cita

Sec. 60-4.1 Scope and application. 60-4.2 Solicitations. 60-4.3 Equal opportunity clauses. 60-4.4 Affirmative action requirements. 60-4.5 Hometown plans 60-4.6 Goals and timetables. 60-4.7 Effect on other regulations. 60-4.8 Show cause notice. 60-4.9 Incorporation by operation of the

Order. AUTHORITY: Secs. 201, 202, 205, 211, 301, 302, and 303 of E.O. 11246, as amended, 30 FR 12319; 32 FR 14303, as amended by E.O. 12086.

SOURCE: 43 FR 49254, Oct. 20, 1978, unless otherwise noted.

$ 60-4.1 Scope and application.

This part applies to all contractors and subcontractors which hold any Federal or federally assisted construction contract in excess of $10,000. The regulations in this part are applicable to all of a construction contractor's or

subcontractor's construction employ- the implementing regulations shall inees who are engaged in on site con- clude the notice in paragraph (d) of truction including those construction this section in all construction agreeemployees who work on a non-Federal ments which are necessary in whole or or nonfederally assisted construction in part to the performance of the covsite. This part also establishes proce- ered nonconstruction contract. dures which all Federal contracting of

(c) Contracting officers, applicants ficers and all applicants, as applicable,

and nonconstruction contractors shall shall follow in soliciting for and

given written notice to the Director awarding Federal or federally assisted

within 10 working days of award of a construction contracts. Procedures also are established which administer

contract subject to these provisions. ing agencies shall follow in making

The notification shall include the any grant, contract, loan, insurance, or

name, address and telephone number guarantee involving federally assisted

of the contractor, employer identificaconstruction which is not exempt from tion number; dollar amount of the the requirements of Executive Order contract, estimated starting and com11246, as amended.

pletion dates of the contract; the conIn addition, this part applies to con

tract number, and geographical area

in which the contract is to be perstruction work performed by construction contractors and subcontractors

formed. for Federal nonconstruction contrac

(d) The following notice shall be intors and subcontractors if the con- cluded in, and shall be a part of, all sostruction work is necessary in whole or licitations for offers and bids on all in part to the performance of a non- Federal and federally assisted conconstruction contract or subcontract. struction contracts or subcontracts in (43 FR 49254, Oct. 20, 1978; 43 FR 51401,

excess of $10,000 to be performed in Nov. 3, 1978)

geographical areas designed by the Di

rector pursuant to $ 60-4.6 of this part $ 60-4.2 Solicitations.

(see 41 CFR 60-4.2(a)): (a) All Federal contracting officers NOTICE OF REQUIREMENT FOR AFFIRMATIVE and all applicants shall include the ACTION TO ENSURE EQUAL EMPLOYMENT notice set forth in paragraph (d) of OPPORTUNITY (EXECUTIVE ORDER 11246) this section and the Standard Federal

1. The Offeror's or Bidder's attention is Equal Employment Opportunity Con called to the "Equal Opportunity Clause" struction Contract Specifications set and the "Standard Federal Equal Employ. forth in $ 60-4.3 of this part in all so ment Opportunity Construction Contract licitations for offers and bids on all Specifications" set forth herein. Federal and federally assisted con 2. The goals and timetables for minority struction contracts or subcontracts to and female participation, expressed in perbe performed in geographical areas centage terms for the Contractor's aggegate designated by the Director pursuant workforce in each trade on all construction to 8 60-4.6 of the part. Administering work in the covered area, are as follows: agencies shall require the inclusion of the notice set forth in paragraph (d)

Goals for minority Goals for female

Timetables participation for participation in each of this section and the specifications

each trade

trade set forth in $ 60-4.3 of this part as a condition of any grant, contract, sub

Insert goals for Insert goals for each contract, loan, insurance or guarantee

each year.

year. involving federally assisted construction covered by this part 60-4.

These goals are applicable to all the Con.

tractor's construction work (whether or not (b) All nonconstruction contractors it is Federal or federally assisted) performed covered by Executive Order 11246 and in the covered area.

officers, all applicants and all nonconstruction contractors, as applicable, shall include the specifications set forth in this section in all Federal and federally assisted construction contracts in excess of $10,000 to be performed in geographical areas designated by the Director pursuant to $ 60-4.6 of this part and in construction subcontracts in excess of $10,000 necessary in whole or in part to the performance of nonconstruction Federal contracts and subcontracts covered under the Executive Order.



The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 604.3(a), and its efforts to meet the goals established for the geographical area where the contract resulting from this solicitation is to be performed. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employer identification number: estimated dollar amount of the subcontract: estimated starting and completion dates of the subcontract; and the geographical area in which the contract is to be performed

4. As used in this Notice, and in the contract resulting from this solicitation, the “covered area” is (insert description of the geographical areas where the contract is to be performed giving the state, county and city, if any). (43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978)

1. As used in these specifications:

a. “Covered area” means the geographical area described in the solicitation from which this contract resulted;

b. "Director” means Director, Office of Federal Contract Compliance Programs, te United States Department of Labor, or any person to whom the Director delegates authority;

c. "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941.

d. “Minority” includes: (i) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);

(ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race);

(iii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and

(iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification).

2. Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted.

$ 60-4.3 Equal opportunity clauses.

(a) The equal opportunity clause published at 41 CFR 60-1.4(a) of this chapter is required to be included in, and is part of, all nonexempt Federal contracts and subcontracts, including construction contracts and subcontracts. The equal opportunity clause published at 41 CFR 60-1.4(b) is required to be included in, and is a part of, all nonexempt federally assisted construction contracts and subcontracts. In addition to the clauses described above, all Federal contracting

3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to dem onstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor's or Subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables.

4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each contruction trade in which it has employees in the covered area. The Contractor is expected to make substantially uniform progress toward its goals in each craft during the period specified.

5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a col lective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto.

6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursu ant to training programs approved by the U.S. Department of Labor.

7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specific cations shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative

action steps at least as extensive as the following:

a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.

b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses.

c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the Contractor may have taken.

d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Con. tractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations.

e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minor. ities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employ. ment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 7b above.

f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newpaper, annual report, etc.; by specific review of the policy with all

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