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Information for Compliance Reviews

Figure 5 is a letter issued by agencies performing compliance reviews. OFCCP originally suggested the format for the letter but changed its instructions to encourage agencies to request only essential information. This letter as well as additional material may be added at the discretion of the compliance agency. Most agencies have developed some variation in their compliance letters.

Figure 5

FIRST LETTER

Dear

Your facility, located at (address including street if available) has been selected for review in regard to your compliance with the requirements of Executive Order 11246, as amended, and with OFCC Regulations 41 CFR, Parts 60-1.40 and 60-2 (Revised Order No. 4). This portion of the review will consist of a desk audit of your Affirmative Action Program (AAP) and of the supporting documentation including the work force analysis. Revised Order No. 14, which is enclosed, includes a detailed definition of a work force analysis.

Your work force analysis must include charts or diagrams depicting lines of progression. The lines of progression must indicate the order of jobs in the line through which an employee could move to the top of the line. Enclosed for your guidance is an Equal Opportunity Compliance Review Data Sheet that lists additional information which must be developed for our desk audit. Please submit your AAP and supporting data as soon as possible. Failure to comply with this request within 30 days from the date of this letter will result in issuance of a show cause letter pursuant to 41 CFR 60, Subpart B, 60-1.28 and may also give rise to a determination of nonresponsibility pursuant to 41 CFR 60-2.2. If possible, please send two copies of the material submitted. On receipt of the above information for my desk audit, I will contact you on the scheduling of an onsite compliance review within the next 30 days. As a result of my audit, I may have to request additional data to be made available at your facility at the start of the on-site portion of this review.

If you have any questions concerning this matter, you may contact me at Area Code

Sincerely yours,

Enclosures

Equal Opportunity Specialist

Figure 5 (Continued)

Equal Opportunity Compliance Review Data Sheet-1975 Compliance Review

1. Affirmative Action Program developed in conformance with the provisions of 41 CFR 60-2.

2. A listing of employees compiled by organizational unit and seniority date (where meaningful) with indications of:

a. Employee's name or other identification

b. Date of hire

c. Race

d. Sex

e. Date of assignment to and title of present job

f. EEO-1 category of present job title

g. Rate of pay and grade

h. Employment status (permanent or temporary)

3. Number of persons hired during the previous twelve months, showing race, sex, and EEO-1 category.

4. A listing of all employees promoted over the past twelve months showing the following information:

a. Employee's name or other identification

b. Race

c. Sex

d. Old job title

e. Old EEO-1 category

f. Old rate of pay

g. New Job title

h. New EEO-1 category

i. New rate of pay

j. Date of promotion

5. A list of employees terminated during the previous twelve months indicating:

a. Employee's name or other identification

b. Race

c. Sex

d. EEO-1 category and job title at time of termination

e. Date of termination

f. Reason for termination

6. A listing of all pre-employment tests and promotional systems used

at the facility. This list should include:

a. The jobs for which the test or system is used.

b. The total number of candidates tested with indications of race and sex.

c. The total number of successful placements over the past year with indications of race and sex.

d. The dates of the validation studies.

7. A copy of each collective bargaining agreement presently in force, as well as pertinent memoranda of understanding.

8. A listing of employees who participated during the previous twelve months in any internal or external training programs other than on-thejob training with indications of:

a. Employee's name or other identification

b. Race

c. Sex

d. Name of training program

9. A listing of all temporary (summer) employees hired over the past two years showing:

a. Employee's name or other identification

b. Race

c. Sex

d. Job title assigned

e. EEO-1 category assigned

f. Pay grade

g. Rate of pay

h. Hire date

i Termination date

10. Develop two EEO-1 forms showing present employment and employment twelve months ago.

11. Number of applicants during the previous twelve months showing race, sex, and EEO-1 category of job applied for (use EEO-1 format) 12. A copy of each brochure or similar document describing fringe benefit policies (leave policy, including maternity, health and life insurance, retirement plans, profit sharing, etc.).

13. Blank copies of each personnel form relevant to EEO (employment application forms, interview forms, credit and character checks, preemployment physical forms and rating system, request for transfer, job postings, placement forms, employee evaluation forms, support log systems).

Although Revised Orders No. 4 and 14 were established as uniform regulations to direct Federal contract compliance agencies, in practice there are differences in interpretation and implementation among agencies. This has been of particular burden to contractors who feel they are within the limits of the OFCCP administrative procedures but find themselves out of compliance due to a difference of interpretation with their designated compliance agency.

When additional materials are required by a compliance officer, the format may be acceptable to one compliance officer and not acceptable to another.

During discussions with State EEO representatives, private employers and OFCCP, it was generally agreed that much of the discrepancy stems from the lack of sufficient or uniform training for compliance officers.

In April, 1975 the General Accounting Office issued its analysis of compliance agencies and found the lack of training a major cause of deficiency in EEO compliance agencies. Since that time OFCCP has implemented a nationwide training program for its 850 person compliance staff. Scheduled for completion in October 1977, this program will then be open to State and local EEO officials.

Although OFCCP has taken steps to improve the uniformity of compliance reviews, instructions are relayed through agency heads and only have the force awarded by the individual agency.

We believe it would be helpful to companies to be informed at the time a contract is awarded of the information required for a compliance review. This would allow employers to develop information systems to facilitate the retrieval of this information. Complaints are often received about the amount of time spent gathering information, rather than the time spent in completing a form.

Recommendation No. 4

OFCCP should continue and expand its efforts to achieve uniformity in the compliance review process through its Government-wide training program for compliance officers. OFCCP should conduct periodic evaluations of its training program to insure that compliance reviews are carried out in a uniform manner.