OFCCP Compliance Evaluation Quality Assurance Form

Completion of an OFCCP Compliance Evaluation Quality Assurance form (CC-73) that covers the following items is required of every OFCCP Compliance Officer conducting a Compliance Review. Knowing what the OFCCP is reviewing can be very helpful in identifying potential weaknesses in your AAP.

1. Problems with Executive Order AAP and Support data Organizational Display: The Organizational Display report allows for proper identification of employee distribution by minority group and sex for each job title among organizational units and pay levels.

2. Utilization Analysis:

 a. Job Groups – Job groups are large enough to support utilization analysis, but do not mask areas of underutilization,
 b. Availability Analysis – Availability estimates are provided for minorities and women for each job group and show proper consideration of appropriate factors, and 
 c. Determination of Underutilization – Underutilization is recognized in job groups in which minority or female representation is less than would be expected based upon availability. 

3. Goals: Annual percentage goals are established separately for minorities and/or women, as applicable, in underutilized job groups and are at least equal to availability.

4. Good Faith Efforts: Conclusions on the presence or absence of good faith efforts are consistent with factual findings and are adequately documented.

5. Muti-Establishment Corporations: If this establishment is a corporate or intermediate headquarters, its AAP utilization analysis and goals contain all job groups for which it has decision making authority. If this is a lower-level establishment, jobs for which decision making authority is at a higher level are identified in the case file.

6. Activity Data: The contractor maintained acceptable data on all applicant flow, hires, promotions, terminations and other relevant employment activity, copies of which are in the case file, or if not, the matter was appropriately resolved.

7. Contractor Goals: Was performance correctly measured in all areas where goals were established and where placements (hiring/lines of progression/competitive promotions/demotions/transfers that change job group) occurred?

8. Implementation of Disabled and Veterans Affirmative Action: Are the action items sufficiently specific to ensure the contractor’s actual implementation of each item?

9. Impact Ratio Analysis (Adverse Impact Analysis): Selection rates for hiring, promotions, termination and other activities were analyzed?

10. Selection:

 a. Adverse IRAs: Adverse IRAs were initially refined to reflect selection for jobs with reasonably comparable qualification standards and persons in the candidate pool when selections occurred, and 
 b. Medical Standards: The on-site included investigation of whether personnel practices/job requirements screened out qualified individuals with handicaps, or disabled veterans, including those who could have performed the job(s) involved given reasonable accommodation to their handicap or disability.

11. Compensation: The compliance evaluation included investigation of potential pay disparities between minorities and non-minorities, men and women.

12. Selection Process and Criteria: If a problem area remained after initial refinement of data, the selection process and criteria for the type of problem involved was identified.

13. Records Examination / Interviews: The investigation included examination of records/ interviews relevant to the problem under investigation and in sufficient quantity to determine whether discrimination did or did not occur.

14. Contractor Explanation: Where there was a preliminary finding of discrimination, the contractor’s explanation was obtained and adequately analyzed.

15. Conclusions / Documentation: Conclusions on whether discrimination did or did not occur are consistent with factual findings and adequately documented.

16. Remedy / Resolution:

 a. Violations identified were resolved in a Conciliation Agreement or Consent decree, as appropriate,
 b. Technical violations identified were resolved in a closure letter referencing the violations and their remedies,
 c. Substantive violations identified were resolved in a Conciliation Agreement and closure letter was used,
 d. Reporting requirements included are sufficient to determine whether the contractor fulfilled the remedy,
 e. Remedy obtained was consistent with OFCCP policy for the type of violation and is specific enough to be auditable.

parts