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TABLE OF CONTENTS
2A INTRODUCTION . . . . . . . . . . . . . . . . . . . . . 1
2A00 CONTENTS OF CHAPTER . . . . . . . . . . . . . 1
2A01 PURPOSE OF DESK AUDITS . . . . . . . . . . . 1
2A02 PURPOSE AND PRINCIPLES OF AAPS . . . . . . . 1
2A03 RELATIONSHIP TO THE STANDARD COMPLIANCE
REVIEW REPORT (SCRR) . . . . . . . . . . . 2
2B PRE-DESK AUDIT ACTIONS . . . . . . . . . . . . . . . . 3
2B00 COMPLIANCE REVIEW INFORMATION SYSTEM (CRIS) . 3
2B01 MAINTENANCE OF CASE CHRONOLOGY . . . . . . . 3
2B02 INITIAL CONTACT WITH CONTRACTOR . . . . . . . 3
2B03 SCHEDULING LETTER . . . . . . . . . . . . . . 4
2B04 FOLLOW-UP CONTACT WITH CONTRACTOR . . . . . . 5
2B05 CONTACT WITH EEOC, STATE AND LOCAL FEP
AGENCIES AND VETS . . . . . . . . . . . . 5
2B06 REVIEW OF COMMUNITY RESOURCE FILES . . . . . 5
2B07 STANDARD AFFIRMATIVE ACTION FORMATS . . . . . 5
2B08 REVIEW OF PREVIOUS COMPLIANCE ACTIONS . . . . 6
2B09 INFORMATION ON COMPLAINTS . . . . . . . . . . 6
2B10 RELATIONSHIP OF OFCCP COMPLIANCE ACTIVITIES
TO EEO LITIGATION OR COURT ORDERS . . . . 7
2C SUBMISSION OF AAPS FOR DESK AUDIT . . . . . . . . . . . 7
2C00 DELAYED RECEIPT OF AAPS . . . . . . . . . . . 7
2C01 NON-RECEIPT OF EXECUTIVE ORDER AAP . . . . . 7
2C02 NON-RECEIPT OF SECTION 503/38 USC 4212 AAPS . 7
2C03 EVALUATION PERIOD . . . . . . . . . . . . . . 8
2C04 TIMEFRAME FOR COMPLETION OF COMPLIANCE
REVIEW . . . . . . . . . . . . . . . . . . 9
2C05 REVIEWS OF CORPORATE HEADQUARTERS, REGIONAL
AND DISTRICT OFFICES . . . . . . . . . . . 9
2D INITIAL REVIEW OF AAP AND SUPPORT DATA - GENERAL . . . 10
2D00 CONTENTS OF INITIAL REVIEW . . . . . . . . . 10
2D01 RECORDING RESULTS OF INITIAL REVIEW . . . . . 10
i
2E REVIEW FOR CURRENCY AND COMPLETENESS . . . . . . . . . 10
2E00 ACTION WHEN AAP NOT CURRENT . . . . . . . . . 10
2E01 COMPLETENESS . . . . . . . . . . . . . . . . 10
2E02 CENTRAL EXECUTIVE ORDER AAP ELEMENT MISSING . 11
2F REVIEW OF EXECUTIVE ORDER AAP FOR REASONABLENESS . . . 11
2F00 WORKFORCE ANALYSIS . . . . . . . . . . . . . 11
2F01 UTILIZATION ANALYSIS . . . . . . . . . . . . 11
2F02 GOALS . . . . . . . . . . . . . . . . . . . . 12
2F03 ACTION FOR UNREASONABLE SUBMISSION . . . . . 12
2G REVIEW OF EXECUTIVE ORDER AAP FOR ACCEPTABILITY . . . . 12
2G00 GENERAL . . . . . . . . . . . . . . . . . . . 12
2G01 WORKFORCE ANALYSIS . . . . . . . . . . . . . 12
2G02 JOB GROUPS . . . . . . . . . . . . . . . . . 14
2G03 AVAILABILITY ANALYSIS - GENERAL . . . . . . . 16
2G04 AVAILABILITY ANALYSIS - DEFINING LABOR
AREAS . . . . . . . . . . . . . . . . . . 17
2G05 AVAILABILITY ANALYSIS - EIGHT FACTORS . . . . 20
2G06 IDENTIFICATION OF UNDERUTILIZATION . . . . . 27
2G07 GOALS . . . . . . . . . . . . . . . . . . . . 28
2G08 ADOPTING AN EEO POLICY . . . . . . . . . . . 28
2G09 DISSEMINATION OF THE POLICY . . . . . . . . . 29
2G10 RESPONSIBILITY FOR IMPLEMENTATION . . . . . . 29
2G11 IDENTIFICATION OF PROBLEM AREAS . . . . . . . 29
2G12 ESTABLISHMENT OF GOALS AND OBJECTIVES -
GOALS BY ORGANIZATIONAL UNIT . . . . . . . 30 2G13 DEVELOPMENT AND
EXECUTION OF ACTION-
ORIENTED PROGRAMS . . . . . . . . . . . . 30
2G14 INTERNAL AUDIT AND REPORTING . . . . . . . . 31
2G15 SEX DISCRIMINATION GUIDELINES . . . . . . . . 32
2G16 SUPPORT OF COMMUNITY ACTION PROGRAMS . . . . 34
2G17 CONSIDERATION OF MINORITIES AND WOMEN NOT
CURRENTLY IN THE WORKFORCE . . . . . . . . 35
2H REVIEW OF EXECUTIVE ORDER SUPPORT DATA FOR
ACCEPTABILITY . . . . . . . . .. . . . . . . . . . . . 35
2H00 REPORT ON GOALS . . . . . . . . . . . . . . . 35
2H01 PERSONNEL ACTIVITY DATA . . . . . . . . . . . 36
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2I REVIEW OF SECTION 503 AND 38 U.S.C. 4212 AAP(S) FOR
ACCEPTABILITY . . . . . . . . . . . . . . . . . . . . . 39
2I00 GENERAL . . . . . . . . . . . . . . . . . . . 39
2I01 ITEMS TO BE INCLUDED . . . . . . . . . . . . 39
2I02 POLICY STATEMENT . . . . . . . . . . . . . . 39
2I03 REVIEW OF PERSONNEL POLICIES FOR PROPER
CONSIDERATION OF QUALIFICATIONS . . . . . 39
2I04 PHYSICAL AND MENTAL QUALIFICATIONS . . . . . 40
2I05 REASONABLE ACCOMMODATION TO PHYSICAL AND
MENTAL LIMITATIONS . . . . . . . . . . . . 41
2I06 COMPENSATION . . . . . . . . . . . . . . . . 41
2I07 OUTREACH, POSITIVE RECRUITMENT, EXTERNAL DISSEMINATION OF
POLICY . . . . . . . . . 41
2I08 ADDITIONAL AAP INGREDIENTS . . . . . . . . . 42
2J SUMMARY OF PROBLEMS WITH AAP AND SUPPORT DATA AND
DEVELOPMENT OF ONSITE PLAN . . . . . . . . . . . . . . 42
2J00 ITEMS RESOLVED AT DESK AUDIT . . . . . . . . 43
2J01 ITEMS TO BE RESOLVED ONSITE - ONSITE
PLAN . . . . . . . . . . . . . . . . . . . 43
2K OVERVIEW OF PERSONNEL ACTIVITY, EEO TRENDS AND
WORKFORCE STRUCTURE/PERSONNEL PRACTICES . . . . . . . . 43
2K00 PERSONNEL ACTIVITY (SUMMARY) . . . . . . . . 43
2K01 EEO TREND ANALYSIS . . . . . . . . . . . . . 43
2K02 WORKFORCE STRUCTURE, PERSONNEL PRACTICES . . 45
2L GOALS PROGRESS AND GOOD FAITH EFFORTS . . . . . . . . . 45
2L00 ANALYSIS OF GOALS PROGRESS . . . . . . . . . 46
2L01 EVALUATION OF GOOD FAITH EFFORT . . . . . . . 47
2L02 ONSITE PLAN FOR EVALUATION OF GOOD FAITH
EFFORT . . . . . . . . . . . . . . . . . . 47
2M POTENTIAL DISCRIMINATION ANALYSES - GENERAL . . . . . . 48
2M00 TITLE VII PRINCIPLES . . . . . . . . . . . . 48
2M01 USE OF TERM "MINORITIES" . . . . . . . . . . 48
iii
2N REVIEW OF THE WORKFORCE ANALYSIS . . . . . . . . . . . 48
2N00 GENERAL . . . . . . . . . . . . . . . . . . . 48
2N01 MINORITY GROUP ANALYSIS . . . . . . . . . . . 49
2N02 UNDERREPRESENTATIONS AND CONCENTRATIONS . . . 49
2N03 DETERMINING THE RELEVANT WORKFORCE SECTOR
AND JOB AREAS . . . . . . . . . . . . . . 50
2O AUDIT OF PERSONNEL ACTIVITY - IMPACT RATIO ANALYSIS . . 53
2O00 DEFINITION . . . . . . . . . . . . . . . . . 53
2O01 CALCULATING THE IRA . . . . . . . . . . . . . 54
2O02 MINORITY GROUP ANALYSIS . . . . . . . . . . . 55
2O03 PROPER USE OF THE IRA . . . . . . . . . . . . 55
2O04 IRA SUMMARY AND ONSITE PLAN . . . . . . . . . 55
2P COMPENSATION ANALYSIS . . . . . . . . . . . . . . . . . 58
2P00 GENERAL . . . . . . . . . . . . . . . . . . . 58
2P01 WAGE AND SALARY DATA . . . . . . . . . . . . 58
2P02 IDENTIFICATION OF JOB TITLES FOR
COMPARISON . . . . . . . . . . . . . . . . 58
2P03 METHODS USED TO DETERMINE PAY . . . . . . . . 58
2Q SUMMARY OF POTENTIAL DISCRIMINATION PROBLEMS AND
ONSITE INVESTIGATIVE PLAN . . . . . . . . . . . . . . . 58
2Q00 FOCUS ON PROBLEM . . . . . . . . . . . . . . 58
2Q01 ONSITE PLAN . . . . . . . . . . . . . . . . . 59
2R PREPARING FOR THE ONSITE . . . . . . . . . . . . . . . 59
2R00 DECISION TO GO ONSITE . . . . . . . . . . . . 59
2R01 SCOPE OF ONSITE . . . . . . . . . . . . . . . 59
2R02 ONSITE PLAN - RESULTS OF DESK AUDIT . . . . . 60
2R03 OTHER ONSITE INGREDIENTS - GENERAL . . . . . 61
2R04 IMPLEMENTATION OF GUIDELINES ON
RELIGION AND NATIONAL ORIGIN AND
SEX DISCRIMINATION GUIDELINES. . . . . . . 61
2R05 IMPLEMENTATION OF SECTION 503 AND
38 U.S.C. 4212 REQUIREMENTS . . . . . . . 62
2R06 TECHNICAL REQUIREMENTS . . . . . . . . . . . 63
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2S NOTICE OF ONSITE REVIEW . . . . . . . . . . . . . . . . 64
2S00 TELEPHONE NOTICE . . . . . . . . . . . . . . 64
2S01 WRITTEN CONFIRMATION OF ONSITE . . . . . . . 65
FIGURES
2-1 CASE CHRONOLOGY LOG (CC-53) . . . . . . . . . . . 67
2-2 SCHEDULING LETTER REQUESTING AAP AND SUPPORT
DATA . . . . . . . . . . . . . . . . . . . . . 68
2-2a ITEMIZED LISTING . . . . . . . . . . . . . . . . . 69
2-3 STANDARD INQUIRY LETTER FOR REQUESTING COMPLAINT
DATA FROM EEOC, STATE AND LOCAL FEPS . . . . . 71
APPENDICES
2A-1 STANDARD COMPLIANCE REVIEW REPORT
(SCRR) FORM . . . . . . . . . . . . . . . 2A-1-1
2A-2 SCRR INSTRUCTIONS . . . . . . . . . . . . . . 2A-2-1
2B SOURCES FOR OBTAINING AVAILABILITY STATISTICS
FOR USE IN PREPARING AFFIRMATIVE ACTION
PROGRAMS . . . . . . . . . . . . . . . . . 2B-1
INDEX . . . . . . . . . . . . . . . . . . . . . . . . . 72
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CHAPTER 2
DESK AUDIT
2A INTRODUCTION
2A00 CONTENTS OF CHAPTER
Chapter 2 outlines the procedures to be used in conducting the desk audit
portion of the compliance review whether it is conducted in the office or
onsite. In a preaward review, the desk audit is normally conducted onsite (also
see Section 3C).
2A01 PURPOSE OF DESK AUDITS
Desk audits are a major component of compliance reviews. By careful and
systematic review of the documents and materials provided by covered contractors
and subcontractors, the Equal Opportunity Specialist (EOS) can begin to
determine whether they are complying with relevant provisions of 41 CFR Chapter
60, are not discriminating and are taking affirmative action to ensure equal
employment opportunity without regard to race, color, religion, national origin,
sex, disability, or status as a special disabled or Vietnam era veteran. Desk
audits enable the EOS to review a contractor's compliance with its affirmative
action and equal opportunity obligations at a particular establishment, and
specifically to:
(a) Workforce Structure, Personnel Policies and Procedures: Examine the
contractor's basic organizational structure, personnel policies and procedures.
(b) Good Faith Efforts: Identify areas: (1) where there has been a lack of
goals progress and further information is needed onsite to evaluate the
contractor's good faith effort, including the development and implementation of
programs designed to improve opportunities for minorities and women.
(c) Potential Discrimination: Identify areas for an in-depth investigation
of potential discrimination: (1) where minorities and women are
underrepresented and concentrated in the workforce; (2) where employment
activity has been disadvantageous to minorities or women; and (3) where there
may be problems in the compensation of minorities or women vs. others.
2A02 PURPOSE AND PRINCIPLES OF AAPS
Desk audits should be conducted with the following AAP principles as points
of reference:
(a) Equal Employment Opportunity: Equal employment opportunity requires
that a contractor eliminate and remedy all discrimination. A contractor's
personnel policies and practices must not discriminate against any persons
because of their race, color, religion, national origin, sex, disability or
covered veteran status.
(b) Affirmative Action: An affirmative action program is a set of specific
and result-oriented policies and procedures to which a contractor commits itself
to apply every good faith effort. The objective of those procedures plus such
efforts is equal employment opportunity.
(c) Completeness, Reasonableness, Acceptability: The affirmative action
program will be judged for its completeness, reasonableness, and acceptability.
2A03 RELATIONSHIP TO THE STANDARD COMPLIANCE REVIEW REPORT (SCRR)
The Standard Compliance Review Report (SCRR) and its instructions (Appendix
2A) constitute a framework for conducting the desk audit and developing and
implementing an onsite investigative plan. The organization of this Chapter
generally parallels that of the SCRR, and it should be read in conjunction with
the SCRR instructions.
(a) Organization of the SCRR: The SCRR is organized into three parts:
(1) Part A: Preparation: Part A covers preparation for the desk audit,
including such areas as the contractor's past review history, overall EEO
trends in its workforce, its organizational structure, and the initial review
of its AAP and support data for completeness, reasonableness, and
acceptability.
(2) Part B: Affirmative Action: Part B summarizes prob- lems with the AAP
and support data; provides for analysis of affirmative action progress and
identification of areas where additional information is needed to determine
good faith effort; and covers implementation of other affirmative action
obligations. For each affirmtive action problem unresolved at the conclusion
of desk audit, the SCRR provides for an onsite plan.
(3) Part C: Potential Discrimination: Part C includes review of the
workforce analysis for concentrations/
underrepresentations), impact ratio analyses, and compensation analyses.
For each potential discrimination problem unresolved at the conclusion of desk
audit, the SCRR provides for an onsite investigative plan.
(b) SCRR Potential Discrimination Worksheets: The SCRR also includes a
series of Potential Discrimination Worksheets designed to illustrate the steps
normally necessary to establish particular types of discrimination. These
Worksheets and their instructions are in Appendix A to Chapter 3. Their use,
although encouraged, is optional. However, the "Key Factors"
highlighted at the beginning of the instructions for each Worksheet must be
addressed in an analysis if the Worksheet applies to the type of potential
discrimination problem involved. In developing an onsite plan for the
investigation of potential discrimination issues, therefore, the EOS may find it
useful to review at least the "Key Factors" for the initial onsite
step of data refinement (Worksheets 17-1 and 17-2).
2B PRE-DESK AUDIT ACTIONS
2B00 COMPLIANCE REVIEW INFORMATION SYSTEM (CRIS)
CRIS is used to record basic information about the contractor, to track
major review events, and to summarize violations found and remedies obtained.
To enter a contractor into CRIS, the Area Of-fice completes CRIS Form 100 and
sends it to Region. The Region then generates a CRIS Form 100a, which is the
first page of the SCRR. Full instructions for completing the 100a are given in
the CRIS Manual.
2B01 MAINTENANCE OF CASE CHRONOLOGY
The EOS should prepare a case chronology (CC-53; see Figure 2-1) for each
compliance review. It should cover events occurring from the date of initial
contact with the contractor to the date case closing documents are prepared and
approved. All telephone conversations, correspondence and meetings associated
with the review should be recorded, indicating the date, nature of contact,
person contacted, summary of discussion or actions taken, and EOS' name. Events
should be logged in as they occur, since it is difficult to reconstruct these
after a review is completed. The case chronology is an integral part of the
case file and will be an invaluable tool if enforcement action is necessary.
All notes and logs should be legible (preferably typed).
2B02 INITIAL CONTACT WITH CONTRACTOR
(a) Identifying Information: Identifying information should be obtained by
contacting the contractor before the start of the compliance review. The name
of the establishment chief executive officer (CEO), the name of the person
responsible for preparation/implementation of the AAP, and the correct
mailing address for the establishment should be obtained. If the
establishment is part of a larger entity, the name of the corporate CEO, the
name of the corporate person responsible for Equal Employment
Opportunity/Affirmative Action matters, and the correct corporate mailing
address should also be obtained. This basic identifying information should be
entered on page 2 of the SCRR, along with contract data, labor force
information, and the other items specified in the SCRR instructions.
(b) Representation by Counsel: If the contractor indicates, at this point
in the review or later, that an outside counsel or consultant will represent the
company, the contractor will be asked to provide written confirmation of
representation, including: (1) the representative's name, address and phone
number; (2) the scope of the representative's authority (including whether
he/she is authorized to negotiate settlement for the contractor); (3) whether
all contacts, including routine ones to make appointments or to clarify
submitted data or other information, should be made through the representative;
and (4) whether all correspondence should be mailed only to the representative
or if copies should also be mailed to the contractor. Upon receipt of this
written confirmation, contacts and correspondence will be handled accordingly
for the duration of the review (unless the contractor specifies a different time
period). NOTE: This same written confirmation should be obtained from the
contractor if OFCCP is contacted by a person who indicates that he/she
represents the contractor.
(c) Special Circumstances: The EOS should also determine if there is any
information which would preclude selection of the contractor for a compliance
review (e.g., bankruptcy, debarment, closure of the establishment), or would
influence the timing of the review (i.e. vacation shutdown, strike, lockout,
heavy layoffs, etc.).
2B03 SCHEDULING LETTER
The notice used to schedule a compliance review and request the Affirmative
Action Program (AAP) and supporting documentation is called a Scheduling Letter
(Figure 2-2). This letter will be sent, by certified mail with return receipt
requested, to the top official at the contractor's establishment with a copy to
the chief executive officer at the corporate address (unless the establishment
and corporate office are the same). Scheduling Letters shall be signed by the
AOD or FOD. Letters should include the name and telephone number of the EOS who
will be conducting the review and/or the appropriate Module Chief.
2B04 FOLLOW-UP CONTACT WITH CONTRACTOR
Within fifteen working days after sending the Scheduling Letter, the EOS
should contact the contractor to ensure that the contractor's representatives
fully understand the requirements outlined. The EOS should also make sure there
have been no special circumstances which may require postponing or cancelling
the scheduled review (see 2B02(c) above).
2B05 CONTACT WITH EEOC, STATE AND LOCAL FEP AGENCIES AND VETS
(a) EEOC and State and local Fair Employment Practices (FEP) Agencies:
Simultaneously with the Scheduling Letter, the standard inquiry letter (Figure
2-3) should be sent to the district office of the EEOC and to State and local
FEP agencies, requesting information on complaints filed against the contractor
and any other information that may be pertinent to assessing the contractor's
EEO posture. If after 15 days no response is received, the EOS should follow-up
by telephone.
(b) Veterans Employment and Training Service (VETS): The EOS must contact
the VETS representative at the appropriate State Employment Security office to
request information he or she may have which could be pertinent to the review.
This contact must be recorded in the case chronology record.
2B06 REVIEW OF COMMUNITY RESOURCE FILES
Each AO or FO should maintain resource files on the communities within its
geographic area. For each community, these files should contain at least: (1)
basic data on minority/female availability; (2) information on public
transportation systems; and (3) identification of local organizations
representing covered group members. The EOS should review the resource file for
the community where the contractor is located, with particular attention to
organizations which can be helpful in evaluating the contractor's compliance
posture. If the contractor is located near an Indian reservation, the EOS
should contact the reservation's Tribal Employment Rights Council (TERO).
2B07 STANDARD AFFIRMATIVE ACTION FORMATS
If the contractor scheduled for review has an approved Standard Affirmative
Action Format (SAAF), the Module Chief should obtain a copy of the format and
provide it to the EOS conducting the review. The EOS should become familiar
with the provisions of the SAAF, preparatory to evaluating the contractor's AAP.
2B08 REVIEW OF PREVIOUS COMPLIANCE ACTIONS
When scheduling the contractor for a compliance review, the EOS should
determine whether the contractor has previously been audited. If so, the EOS
should examine at least the previous case file for problem areas, with
particular attention to commitments made in a Conciliation Agreement or Letter
of Commitment. The EOS also should determine whether the contractor has been
subject to an OFCCP complaint investigation and, if so, review the file for any
problems identified. Problems in these past compliance actions should be
recorded on page 3 of the SCRR. As the review progresses, the EOS should be
alert to any indications that past problems have remained unremedied or have
recurred.
2B09 INFORMATION ON COMPLAINTS
(a) Response to the Standard Inquiry Letter: The EOS should carefully
examine all information on complaints received from Federal, State, and local
agencies in response to the Standard Inquiry Letter. Basic information on these
com- plaints should be entered on page 3 of the SCRR, including the agency with
which the complaint was filed, the basis, issue, current status, and the area of
the contractor's workforce involved in the complaint.
(b) Relationship to Desk Audit: The EOS should note any patterns in the
types of complaints filed, particularly ones that might indicate potential
systemic discrimination problems. For example, there may be a clustering of
complaints filed by employees in certain job areas, or by applicants or
employees from a particular race, religion, ethnic group, or sex, or by covered
veterans or individuals with disabilities. As the review progresses, the EOS
should cross reference complaints to potential problem areas identified. For
example, there may be indications of lack of good faith efforts, adverse IRA's,
and/or concentrations/underrepresentations in areas where complaints have been
filed.
(c) Review of Case Files: Where appropriate, the EOS should contact the
appropriate EEOC office or State or local fair employment agency to arrange to
review case files as part of the compliance review. This can be useful when, as
a result of the desk audit, potential systemic problems are indenti- fied in
complaint areas.
(d) Contractor Complaint Information: Upon receipt of the AAP and
supporting data, any information provided by the con- tractor with respect to
current or past complaints should be compared to the information received from
the agencies. Discrepancies and/or information not provided by the contractor
should be noted by the EOS for particular attention during the review.
2B10 RELATIONSHIP OF OFCCP COMPLIANCE ACTIVITIES TO EEO LITIGATION OR COURT
ORDERS
If, during the conduct of a compliance review, the EOS finds that the
contractor is involved in litigation or is under a court order on EEO matters,
he/she should identify the EEO issues involved, the court, the parties, the case
name and number, and bring the matter to the attention of the AOD (or FOD, where
appropriate). The AOD/FOD, in consultation through channels with the Regional
Solicitor's Office, will determine whether there are any limitations which may
be imposed on the conduct of the compliance review by the litigation or court
order.
2C SUBMISSION OF AAPS FOR DESK AUDIT
2C00 DELAYED RECEIPT OF AAPS
If current AAPs are not received by the 30th calendar day after the
contractor received the notification of the scheduled review, the EOS should
telephone the contractor to determine whether the AAPs have been mailed. If the
contractor advises that they are en route, a reasonable period of time, not to
exceed five (5) calendar days, will be allowed for receipt.
2C01 NON-RECEIPT OF EXECUTIVE ORDER AAP
If there is no reason to believe that the AAP is en route, or if an AAP
reported en route has not been received at the end of 5 calendar days following
the 30th day, a show cause notice should generally be issued (see Chapter 8).
However, the regulations at 41 CFR 60-1.26(a)(2) give the Director, OFCCP the
discretion to go directly to administrative enforcement where a contractor
refuses to submit an AAP and efforts to conciliate the matter are unsuccessful.
2C02 NON-RECEIPT OF SECTION 503/38 U.S.C. 4212 AAPS
A Section 503 and 38 U.S.C. 4212 AAP may be included in an Executive Order
AAP, may be combined in one document, or may be submitted as separate documents.
Action to be taken where Section 503 and/or 38 U.S.C. 4212 AAP(s) are not
submitted may take either of two forms, depending on circumstances:
(a) Concurrent Failure to Submit EO 11246 AAP or Submission of Unreasonable
EO 11246 AAP: If the contractor failed to submit both an Executive Order AAP
and the AAP(s) for Section 503/38 U.S.C. 4212, or if the Executive Order AAP is
determined to be an unreasonable submission (see Section 2F
below) and no Section 503/38 U.S.C. 4212 AAP(s) was submitted, then the Show
Cause Notice being issued for the Executive Order violation will include the
failure to submit the Section 503/38 U.S.C. 4212 AAP and offer the contractor a
concurrent 30-day period to submit that AAP (see Sections 8B01(b) and 8D00(b)
and Figures 8-1 and 8-2).
(b) Reasonable EO 11246 AAP Submitted: If the contractor's Executive Order
AAP has been received and is determined to be reasonable, but no Section 503/38
U.S.C. 4212 AAP(s) was received, the EOS will telephone the contractor to
request that the missing AAP(s) be provided. If the materials are received
before the end of the desk audit, they will be reviewed for completeness and
acceptability (see Sections 2E01 and 2I below) as part of the desk audit. If
they are not received before the end of the desk audit, they will be reviewed
onsite. If, however, it is determined onsite that the contractor did not have
Section 503 and/or 38 U.S.C. 4212 AAPs in place in accordance with the
regulations, this will be cited as a major problem, and its resolution addressed
in a Conciliation Agreement.
2C03 EVALUATION PERIOD
(a) General: The EOS should evaluate the contractor's perform- ance (e.g.,
goals progress, good faith efforts, personnel activity, etc.) for at least the
last full AAP year. Cur- rent year performance should also be examined if the
con- tractor is six months or more into its current AAP year. For example, if
the AAP is established on a calendar year basis, and the compliance review is
scheduled for August 1988, the EOS would evaluate the contractor's performance
from January 1, 1987 through June 30, 1988 (1/1/87 through 12/31/87 under the
prior AAP, and 1/1/88 through 6/30/88 under the current AAP).
(b) When Discrimination Found: Note, however, that if potential
discrimination is found, analysis of personnel activity/policy implementation
should be extended to cover the normal liability period (providing coverage can
be established during the full normal liability period). The normal liability
period for a compliance review is the full two years preced-ing the date the
contractor received the Scheduling Letter. Additionally, where the alleged
discrimination involves a continuing violation, the analysis may be extended
further (see Chapters 3 and 7).
Revised 5-25-90
2C04 TIMEFRAME FOR COMPLETION OF COMPLIANCE REVIEW
The 60-day period for completing the compliance review (refer to 41 CFR
60-60.7) begins when the AAP and support data (whether reasonable or not) are
recieived in the AO/FO. While completion of the review within the 60-day period
is not a procedural prerequisite to an enforcement action, substantial effort
should be made to complete the review within that period of time. Should it
become apparent that a review cannot or will not be completed within 60 days of
receipt of the AAP and support data (irrespective of whether a Show Cause Notice
has been issued), the EOS should request an extension through his or her Module
Chief. All extension requests must be made sufficiently in advance to allow for
necessary processing and entry into the CRIS.
2C05 REVIEWS OF CORPORATE HEADQUARTERS, REGIONAL AND DISTRICT OFFICES
(a) Maintenance of Establishment AAPs: When reviewing corporate
headquarters, the EOS should review documentation that the corporation's
establishments have developed AAPs.
(b) Corporate-Level Selection Decisions: The EOS should ensure that the
workforce analysis, utilization analysis and goals in the corporate
headquarter's AAP include all positions filled by headquarters decision-makers,
regardless of where those jobs are physically located. For example, mid- and
upper-level management jobs at establishments other than headquarters must be
included in the corporate AAP if the selection decisions for those jobs are made
at the corporate level.
Where because of informal or fluctuating managerial appointment authorities,
the appropriate level for job title placement cannot be clearly or consistently
defined, the managerial and other appropriate titles should be placed in the
AAP of the highest organizational level where ultimate approval authority may
reside. As a result, there may be instances when the majority of mid- and
upper-level manage-ment and other titles should appropriately be placed in the
corporate headquarters AAP, notwithstanding personnel responsibility at
intermediate organizational levels. Management should be given substantial
discretion in determining proper organizational levels for job title placement
provided such placement is not inconsistent with the purpose of this Section.
(c) Regional or District-Level Selection Decisions: Similarly, if a
regional or district office has decision-making authority over positions in a
lower-level establishment unit, the regional or district office AAP should
include those positions in its workforce analysis, utilization analysis and
goals.
Revised 5-25-90
(d) Establishments with Positions Filled by Higher-Level Decision Making:
When reviewing establishments which are subordinate to a higher-level
establishment in the contractor's organization, the EOS will ensure that all
positions in the workforce of the lower-level establishment for which the
selection decisions are made at a higher corporate level are excluded from the
utilization analysis and goal setting of the establishment under review. Such
positions, however, must be shown in the lower-level establishment's workforce
analysis (in order that the complete workforce structure of that establishment
is readily apparent).
2D INITIAL REVIEW OF AAP AND SUPPORT DATA - GENERAL
2D00 CONTENTS OF INITIAL REVIEW
Upon receipt of an AAP and support data, the EOS should immedi- ately review
the material to make sure that it provides an adequate basis for conducting
desk audit analyses of both affirma- tive action and potential discrimination
issues. This initial review includes a determination of the completeness,
reasonableness and acceptability of the AAP(s) and support data as described
in the sections which follow.
2D01 RECORDING RESULTS OF INITIAL REVIEW
The results of this initial review are recorded on page 4 of the SCRR.
Where problems are identified, each specific problem should be described on page
9 of the SCRR (Problems with AAP and Support Data), along with the actions the
EOS plans to take to resolve it. Where the matter is unresolved at the
conclusion of desk audit, page 9 will constitute the onsite plan for resolution of AAP and support data problems.
2E REVIEW FOR CURRENCY AND COMPLETENESS
2E00 ACTION WHEN AAP NOT CURRENT
Upon receipt of an AAP for desk audit, the EOS should first determine
whether the AAP is current. If it is not, the submission should be treated as
if the contractor had failed to submit an AAP. See Section 2C01 above.
2E01 COMPLETENESS
If the AAP is current, the EOS should review the AAP and support data for
completeness. To do so, the EOS should first determine whether all materials
requested in the Scheduling Letter and itemized listing, including the Section
503 and 38 U.S.C. 4212 AAPs, have been submitted. Then the EOS should determine
if the Executive Order and Section 503 and 38 U.S.C. 4212 AAPs contain all
ingredients required by the regulations:
oExecutive Order AAP ingredients required by 41 CFR 60-2.11 and 2.13(a)
through (j);
oRequired Executive Order support data, including the report of prior year
goal progress required by 41 CFR 60-1.40(b) and (c); and
oSection 503 and 38 U.S.C. 4212 AAP ingredients required by 41 CFR
60-741.6(a) through (f) and 41 CFR 60-250.6 (a) through (f) respectively.
2E02 CENTRAL EXECUTIVE ORDER AAP ELEMENT MISSING
If one or more of the following central Executive Order AAP ingredients is
missing, the submission is automatically considered unreasonable and the desk
audit should be suspended and a show cause notice issued:
oA workforce analysis;
oA utilization analysis, including its component parts of job group
formation, availability estimates and, as appropriate, identification of
underutilization; and
oGoals for areas declared underutilized.
If these central ingredients are included, the EOS should then evaluate them
for reasonableness.
2F REVIEW OF EXECUTIVE ORDER AAP FOR REASONABLENESS
For a submission to be considered a reasonable effort to meet the
requirements of 41 CFR Part 60-2, the central Executive Order AAP ingredients
of workforce analysis, utilization analysis and goals development must meet the
following standards:
2F00 WORKFORCE ANALYSIS
The submission must contain a workforce analysis which lists all jobs at
the establishment by title (not EEO-1 category, job group or some other
combination of job titles) and by organizational unit, showing at least total
employees, total women and total minorities for each job title.
2F01UTILIZATION ANALYSIS
In the following components of the utilization analysis, the submission must
show:
(a)Job Groups: An attempt to combine job titles into job groups (defined as
one or more jobs with similar content, wage rates, and opportunities).
(b)Availability Analyses: An attempt to establish separate availability
estimates for minorities and for women for each job group.
(c)Underutilization Determination: A comparison of availability to current
incumbency to determine the existence of underutilization.
2F02GOALS
The submission must show an attempt to establish goals for those job groups
identified as underutilized.
2F03 ACTION FOR UNREASONABLE SUBMISSION
If the Executive Order AAP does not meet one or more of these standards for
reasonableness, the desk audit should be suspended and a show cause notice
issued (see Chapter 8). If the Executive Order AAP is considered reasonable,
the EOS should evaluate the submission for acceptability.
2G REVIEW OF EXECUTIVE ORDER AAP FOR ACCEPTABILITY
2G00GENERAL
Having determined that the elements necessary to proceed with the desk
audit--the workforce analysis, utilization analysis and current goals--are
included in the contractor's submission and are reasonable, the desk audit
proceeds with an evaluation of the acceptability of each required ingredient.
The determination of the acceptability of the items listed on page 4 of the SCRR
will be limited to the evaluation which can be conducted during the desk audit.
This is different from an evaluation of a contractor's implementation of the
requirements, which in most instances cannot be determined without further
investigation onsite (see Chapter 3).
2G01 WORKFORCE ANALYSIS
An acceptable workforce analysis is one which meets the requirements of 41
CFR 60-2.11(a). It must contain:
oA listing of each job title, as it appears in applicable collective
bargaining agreements or payroll records;
oIn wage rate or salary range order;
oWithin each department or other similar organizational unit, including unit supervision; and
oWhere there are separate work units or lines of progression within the
department or organizational unit, a separate listing must be provided.
More specifically:
(a)Information by Job Title: Each job title listed must show the total
number of persons in the job title, the total num-ber of men and of women, and
the total number of men and of women in each of the following groups: Blacks,
Hispanics, Asian/Pacific Islanders, and American Indians/Alaskan Natives. All
job titles, including managerial job titles, must be listed. Positions which
are filled above the estab-lishment level must be included in an establishment's
work-force analysis even though they may be included for goal-setting purposes
in a corporate or mid-level AAP. In deter-mining whether jobs are listed by
title, the EOS should be alert for the use of plurals in job titles; broad,
general titles, such as "Manager" or "Machine Operator;" or
inclu- sion of multiple pay ranges for one job title. The pre- sence of any of
these suggests that jobs may not be listed by title.
(b)Wage Rate:
(1)General: The wage rate or salary range for each job title must be given
(although this information may be coded--see (2) below). Titles must be listed
in wage rate or range order within department or other similar organizational
units. The listing may either be from highest to lowest paid or from lowest to
highest paid.
(2)Coded Data: Where wage rate or salary range are coded, the contractor
must provide the key to the code onsite. Any codes must be consistent across
department/unit lines (i.e. a job with a salary code "57" in
Department A, pays the same as one coded "57" in Department B) and in
wage rate or salary range order within each department or other similar
organization unit. Also, the submission should include a list of the codes used
in wage/salary order with the highest and lowest codes so labeled.
(c)Organizational Unit: The organizational units used in the workforce
analysis should be identifiable, and should reflect the contractor's
organizational structure. If an organizational chart is provided as part of the
supporting documentation, it should be compared to the units used in the
workforce analysis.
(d)Lines of Progression: Lines of progression or usual promotional
sequences must show the order of jobs in the line through which an employee
moves to reach the top of the line. Lines of progression or promotional
sequences may be identified from collective bargaining agreements as well as
from organizational charts. If this information is not available at desk audit,
a final determination of acceptability cannot be made until after the onsite review.
2G02JOB GROUPS
Job groups, to be acceptable, must consist of a group of jobs having similar
content, wage rates, and opportunities.
(a)List of Titles in Each Group: In order for the EOS to assess job group
acceptability, the AAP must include, for each job group, a listing of the job
titles which make up that group. If such lists have not been provided, the EOS
should immediately contact the contractor and request that such lists be
provided for desk audit.
(b)Criteria for Acceptability: The following criteria are to be used in
assessing the acceptability of job groups:
(1)Similar work content: Similarity of work content refers to the duties
and responsibilities of the job titles which make up the job group. While it is
difficult to confirm similarity without reference to position descriptions, some
steps can be taken during the desk audit to make at least a preliminary
assess-ment of acceptability of work content. For example:
oAppropriate EEO Category: The EOS should review the establishment's job
titles that make up each of the job groups to verify they are within the proper
EEO-1 categories. Job titles in each job group normally would be within the
same EEO-1 category.
oUse of Dictionary of Occupational Titles: The Dictionary of Occupational
Titles can be referred to, as well as labor agreements, organizational charts,
and other data provided by the contractor, in evaluating the manner in which the
contractor has formulated job groups. The Dictionary of Occupational Titles
lists standard job titles for most positions, and codes them based on their
duties, requirements, and other factors. Descriptions of job duties and
commonly required qualifications are also given.
(2)Similar rates of pay: Pay rates should be reviewed in conjunction with
job content. Large apparent differences in pay, when associated with
differences in job title and/or location within an organization, suggest an
unacceptable job grouping.
(3)Similar opportunities: Opportunity refers to the ability to take
advantage of training opportunities, transfers, promotions, mobility to
desirable wage/ salary situations, and other employment benefits. Most often,
it refers to upward mobility. Ideally, each job within a job group should offer
the same opportunities as any other job title within that job group. As a
result:
oJobs in Separate Unions: Jobs in separate unions, or jobs in different
departments when interdepartmental mobility is impossible, should not be
grouped together. For example, nonunion clerical jobs and clerical jobs which
are covered by a collective bargaining agreement should not normally be grouped
together.
oJobs in Lines of Progression: Jobs that are in lines of progression should
be separated from those that are not. Where transfer or hire into jobs above
entry level is rare, each line of progression should be analyzed separately.
Where there are lines of progression governed by strict seniority, the job
titles in lines should be considered as a single job group.
(c)Job Groups Must Not Obscure Underutilization: Job groups which combine
jobs with different content, wages, or opportunities may obscure
underutilization and are not acceptable. Any job groups that combine jobs in
which minorities or women are concentrated with jobs in which they are
under-represented should be targeted for special scrutiny onsite. Such job
groups often unacceptably include jobs with different content, wages, or
opportunities.
(d)Effects of Size of Contractor's Workforce: In assessing the
acceptability of the contractor's job groups, the EOS must remember that the
size of the contractor's workforce is a major factor in determining how well
these three criteria will be met.
(1)Job Groups Must Permit Meaningful Analyses: Job groups should have
enough incumbents to permit meaningful utilization analyses and goal setting.
Optimally, if a job group is identified as underutilized, it should be large
enough so that a goal of at least one whole person can be established. No
minimum size has been established for this purpose, however, since it is
dependent not only on the size of the job group, but also on the size of the
availability percentage and the number of minorities or women already in the job
group.
(2)Job Groups Should Not Normally Cross EEO Categories: Because of the
minimum size of a contractor subject to written AAP requirements, it may not be
possible for any of a smaller contractor's job groups to meet this guideline.
While there are usually two or more job groups within each EEO-1 or EEO-6
category, for smaller contractors some or all of their job groups may
correspond to those categories. In any event, when job titles are combined to
maintain minimal job group size, EEO category lines should not normally be
crossed.
(e)Relationship Between Job Groups and Availability: The organization of
jobs into groups allows contractors to tie specific jobs to availability
statistics in order to assess the degree to which their own workforce
representation approximates availability.
2G03AVAILABILITY ANALYSIS - GENERAL
(a)Standard for Acceptability: The reasonable submission test requires only
that a contractor make an attempt to develop availability estimates. For the
availability analysis to be found acceptable, however, it must contain a proper
definition of labor area and must show consideration of each of the eight
factors at 41 CFR 60-2.11(b)(1) and (2).
(b)Principles for Evaluation: In evaluating the acceptability of the
availability analysis, the EOS should be guided by two principles. First, the
contractor's consideration of each of the factors should reflect its actual
recruitment and employment practices. Second, the contractor's recruitment and
employment practices should demonstrate the con- tractor's compliance with its
affirmative action and non-discrimination obligations.
(c)Professional Judgement: The audit of the availability analysis for
acceptability is as much an art as a science. There are no hard-and-fast, "mechanical"
methods for evaluating the availability analysis. The EOS must make a
professional judgement as to the adequacy of the contractor's analysis. This
requires familiarity with the quality and variety of data available, with
industry and contractor personnel practices, and knowledge of available
recruitment sources.
2G04AVAILABILITY ANALYSIS - DEFINING LABOR AREAS
(a)Importance of Labor Area Definition: Six of the eight fac-tors for
assessing minority or female availability are tied to the contractor's
definition of labor areas. How the con-tractor defines its immediate labor area
determines the data used for population, workforce, unemployment/seeking work,
and requisite skills within that immediate area. How the contractor defines its
reasonable recruitment area determines the data used for requisite skills
within that area. Definition of both these areas, therefore, heavily impacts
the results of the contractor's availability analysis. A critical first step in
evaluating the contractor's availability analysis is to assess the
acceptability of both immediate labor area and reasonable recruitment area.
(b)Immediate Labor Area: In evaluating the contractor's determination of
its immediate labor area, the EOS should consider the following:
(1)Definition: The immediate labor area is that geographic area from which
employees may reasonably commute to the contractor's establishment. It may
include one or more contiguous cities, counties or Metropolitan Statistical
Areas (MSAs) or parts thereof, in which the establishment is located. For
example, it may be defined as the major city in or near which the
establishment is located; the county(ies) surrounding the establishment; the
MSA in which the establishment is located or which borders the establishment; or
a combination of any of the three. (Note, however, that if the contrac-tor
chooses to combine figures from more than one area, it must be prepared to
provide the raw numbers used to produce the final percentage, since the
percentages themselves cannot be added together). However defined, the
immediate labor area is normally the same for all job groups.
(2)Must Not Underestimate Availability: In reviewing the contractor's
definition of immediate labor area, the EOS must ensure that the contractor has
not defined that area in a way that underestimates minority or female
availability. For example, the definition should not exclude a nearby area with
a large minority workforce.
(3)Commuting Patterns: In assessing the immediate labor area definition,
the EOS needs to consider commuting patterns, including the availability of
public transportation, approximate normal driving times, etc. in the labor area.
(4)Relationship to EEO/AA Obligations: The immediate labor area definition
should be consistent with the contractor's nondiscrimination and affirmative
action obligations. For example, if a contractor's workforce is largely
nonminority and it recruits primarily by word of mouth, defining the immediate
labor area based on the source of applicants may reflect its actual re-
cruitment practices, but does not meet the contractor's affirmative action
obligations (and could, in fact, be found to be discriminatory). Similarly,
defining the immediate labor area based on residence patterns of current,
nonminority employees, whether as of the time of hire or the time of the review,
may also artificially lower availability for minorities.
(5)Need for Further Investigation: If the EOS disagrees with the
contractor's definition of the immediate labor area because it appears to
artificially lower the availability of minorities and women, the EOS should
investigate further onsite to determine whether the contractor, in fact, does
recruit from an area with higher minority/female availability and/or whether the
contractor could expand its area to increase the numbers of minority group
persons and women in the per-centage of available workers. In this evaluation,
the EOS, based on his or her review experience, may consider where other
nearby employees with similar jobs normally obtain workers.
(6)Sources of Data: As noted earlier, immediate labor area data are
normally used for factors on population, unemployment/seeking work and
workforce. For these factors, the contractor should use the best data
available. Resources for this data include the Research Division of each
State's Division of Employment Security (DES). This DES Division annually
updates data on population, unemployment/seeking work and workforce for its
State and for MSAs and counties within its State (See Appendix 2B for other
information available from DES). For a discussion of data on requisite skills
in the immediate labor area, and considerations in their use, see Section
2G05(e) below.
(c)Reasonable Recruitment Area: The definition of the reason-able
recruitment area is very important in assessing the proportion of minorities and
women available for employment. It influences the number or proportion of
minorities or women who could--at least theoretically--get through the
contractor's door (be hired) if minority group membership and sex were not taken
into consideration in employment decisions. In assessing how the contractor has
defined reasonable recruitment area, the EOS should consider the following
factors:
(1)Relationship to Immediate Labor Area: The reasonable recruiting area
represents the area from which the contractor usually seeks or reasonably could
seek workers for a particular job group. It may coincide with the immediate
labor area, or it may cover a larger area (state, region, or nation). Thus,
while the immediate labor area is normally the same for all job groups, the
reasonable recruitment area will vary depending on the types of jobs in the job
group.
(2)Pay and Skill Levels: Generally, the scope of the reasonable recruitment
area is closely related to pay, based on the assumption that the more a job
pays, the farther people are willing to go to apply for it. Also, because there
is often a relationship between pay levels and skill levels, for job groups
containing jobs with minimal to intermediate skill requirements, the reasonable
recruiting area will often be the same as the immediate labor area. As pay
levels and skill requirements increase, however, the likelihood that recruiting
will expand beyond the immediate labor area also increases.
(3)Supply and Demand: In addition to pay and skills, supply and demand
plays a part in defining the scope of the reasonable recruiting area. For
example, at times when nurses are in short supply, it may be necessary to expand
recruitment efforts beyond the immediate labor area. At other times, the supply
of nurses available in the immediate labor area exceeds the demand, and may
reduce the reasonable recruiting area. Supply and demand can also be influenced
by the specificity of skills required by the contractor. For example, while the
supply of teachers generally may exceed demand, the demand for teachers with
specific skills, such as math
or science, may exceed the supply and result in an expansion of the
recruitment area. Further, high unemployment in one area may create a labor
surplus which effectively expands the "reasonable recruitment area"
elsewhere. For example, when unemployment is high, persons often search for
work in a wider area, becoming more willing to either relocate or to commute
further to a job than they normally would. As a result, the "reasonable
recruitment area" for other areas expands.
(4)Summary: As a result, while in most instances job groups in the Service
Worker, Laborer, Operative, Office and Clerical and retail Sales categories
tend to have reasonable recruitment areas which are the same as the immediate
labor area, this will not always be the case. Jobs in the Crafts and
Technicians categories are often particularly susceptible to supply and demand
factors related to level and specificity of skill required. Therefore, while
in most instances, such jobs tend to have reasonable recruitment areas which
coin-cide with the immediate labor area, some job groups within the categories
may have a broader recruitment area. Similarly, while job groups in the Sales
(non-retail), Professional, and Officials and Managers categories usually have
reasonable recruitment areas which are larger than the immediate labor area (and
often significantly larger, e.g. national), this will not always be the case.
(5)Sources of Data: See Section 2G05(e) below.
2G05 AVAILABILITY ANALYSIS - EIGHT FACTORS
The contractor's AAP must show, for each job group, consideration of each of
the eight factors for minorities and each of the eight factors for women. All
factors are expressed as the percentage that minorities or women are among all
persons who meet the factor. These factors are as follows:
(a)The minority population of the labor area surrounding the facility (Refer
to 41 CFR 60-2.11(b)(1)(i)): The extent to which this factor is given
consideration in determining the final availability factor for a given job group
will depend on whether or not that job group contains entry level posi- tions
which are filled primarily through outside hire and which require minimal or no
prior skills. Job groups which fall into the Service Worker, Laborer, and to
some extent, Operatives EEO-1 categories will be more likely to incorpor-ate
minority population percentages into the final availability estimate than
would job groups requiring more specialized skills, such as those falling into
the Technician or Professional categories.
(b)The availability of women seeking employment in the labor or recruitment
area of the contractor (Refer to 41 CFR 60-2.11 (b)(2)(v): The figure used may
be based on the percentage that unemployed women are among all unemployed
persons in the labor area (41 CFR 60-2.11(b)(2)(i)), since that rate includes
only persons actively seeking work; the percentage of women applying for work at
the local unemployment service office in job categories comparable to those in
the contractor's job groups; or the contractor's prior year applicant flow for
women for that job group. Generally, the highest figure should be used. As
with minority population, inclusion of this figure in developing final
availability estimates for a particular job group will depend on whether or not
the job group is entry level, is filled through outside hire, and requires
little or no prior skills or experience. The less skill required, the more
consideration this factor should receive.
(c)The size of the minority/female unemployment force in the labor area
surrounding the facility (Refer to 41 CFR 60-2.11(b)(1)(ii) and 41 CFR
60-2.11(b)(2)(i)): The figure used should be the percentage that unemployed
minorities (or women) are among all unemployed persons in the labor area.
Please note that this is not the same as unemployment rate, which is generally
expressed as the percentage of a given group that is unemployed--e.g., the
percentage that unemployed minorities are among all minorities in the
workforce (employed plus unemployed). As with minority population and women
seeking employment, the size of the minority/female unemployment force should
receive greater consideration where job groups are entry level, filled by
outside hire, and require little or no skill or experience. The factor will
receive less consideration where job groups are above entry level, require more
skill or are filled solely or primarily through internal placement.
(d)The percentage of the minority/female workforce as compared with the
total workforce in the immediate labor area (Refer to 41 CFR 60-2.11(b)(1)(iii)
and 41 CFR 60-2.11(b)(2)(ii)): The percentage of minorities/females in the
workforce will have greater applicability for those job groups which draw from a
larger recruiting pool (entry level, filled through external hire, and requiring
few or no skills). For those job groups which draw from a smaller recruiting
pool (those above entry level, with higher skill requirements, and/or filled
solely or primarily through internal placement), this factor is likely to have
less importance. (Note: The term workforce is used elsewhere in the
regulations to mean the incumbent employees of the contractor (e.g., workforce
analysis). However, as used here in the availability analysis, the term
workforce is synonymous with the term "labor force" as defined by the
Census Bureau and other government agencies--e.g., as those persons in the
population, aged 16 and older who are either employed or unemployed (unemployed
is further defined as actively seeking employment).
(e)Requisite Skills:
oThe general availability of minorities/women having requisite skills in the
immediate labor area (Refer to 41 CFR 60-2.11(b)(1)(iv) and 41 CFR 60-2.11(b)(2)
(iii));
oThe availability of minorities/women having requisite skills in an area in
which the contractor can reasonably recruit (Refer to 41 CFR 60-2.11(b)(1)(v)
and 41 CFR 60-2.11(b)(2)(iv));
In assessing these factors, contractors should use the best data available.
While the most recent decennial census data normally provide the most detailed
information on requisite skills, they become increasingly outdated the more
years it has been since the census was conducted. Also, the decennial census shows only persons employed in a given occupa tion at the time the census was conducted, rather than those with the skills
to be employed in that occupation. Therefore, the following adjustments to decennial census data are normally needed:
(1)Adjustment for Time Since the Last Decennial Census: Some State Divisions
of Employment Security continue to publish periodic updates of decennial census
data on occupations of persons employed in labor areas within their State.
While these updates are often for fairly broad job categories, they provide a
reliable means of update for job categories where skills are normally not very
specialized (i.e. service workers, laborers, operatives, entry-level clerical,
retail sales), and at least an indication of overall trends in job categories
where skills often are specialized (see Section 2G05(e) (4) below).
Additionally, for job groups which do have legitimate specialized education
requirements, any available data on the percentage of minority and/or female
graduates at the level (Associates, Bachelor's, etc.) and in the field involved
may be used to update census data. Since, in many fields, minority and female
enrollment has risen since the last decennial census, these data are often
considerably more accurate than the census as a measure of requisite skills for:
(1) entry-level jobs which legitimately require a particular level and type of
post-high school degree; and (2) such jobs above entry (i.e. with legitimate
experience as well as degree requirements), if the data are corrected for the
year of degree.
(2)Adjustment for Employment vs. Requisite Skills: The adjustment discussed
immediately above for recent graduates also provides some correction for the
census' focus on persons employed in a given occupation when the census was
conducted. Additionally, however, care must be taken to ensure that such census
data do not, in effect, perpetuate past discrimination against mi- norities or
women in certain occupations and/or out-dated "job applied for"
patterns. This is particularly important for jobs in which, in terms of basic
skill requirements, the availability of minorities and/or women has long been
considerably better than their representation--for example, some management,
professional and sales training programs in which the major legitimate
requirement is a college degree. Similarly, in entry-level blue collar jobs
where the contractor provides training--and the major skill requirement,
therefore, is "trainability"-- past employment patterns may simply
reflect who employers in the area choose to train rather than true availability
(which in this situation should normally approximate labor area workforce
representation).
(3)Match Between Data and Skills: The particular requisite skills
classification(s) from which the data are obtained should closely approximate
the skills required for performance in the job group. The closeness of the
match between data and skills will depend on how much job content varies within
the job group and the degree of detail in the source data for requisite skills.
(i)Varied Job Content: Where job content is quite varied (i.e. a Scientist
I job group composed of Chemists and Physicists), the contractor may either
refine the job group further, where appropriate, or combine requisite skills
data for the two or more types of jobs in the group. Where the data are
combined, the contractor should have available the raw numbers from which the
average percentage was derived.
(ii)Degree of Detail in Data: The most refined data available are usually
those contained in the most recent decennial census. Detailed census data are
available from, among other sources, the National Technical Information Service
(NTIS) of the U.S. Department of Commerce (see Appendix 2B). The NTIS's Report
#5, "Equal Employment Indicators," contains decennial census
information on the employment of minorities and women in 503 job
classifications. Data from other sources may be considerably broader. For
example, State Divisions of Employment Security that continue to update
occupational data usually do so for a limited number of job categories, similar
to but not the same as EEO categories. In the case of either very broad or very
refined data, some adjustment may be needed to approximate requisite skills for
a particular job group.
(4)Adjustment for Broad Data: Data based on broad job categories (e.g. "Professionals")
may either overstate or understate availability. For example, if the job group
consists of engineering titles, using data for "all Professionals"
(which includes primary and secondary school teachers) will usually overstate
minority and female availability. On the other hand, if the job group is
nurses, data on "all Professionals" will substantially understate
female availability. Thus, while the contractor may make adjustment for broad
data, the EOS should evaluate the direction and degree of adjustment made given
the job group involved.
(5)Adjustment for Narrow Data: Where data based on narrow job categories
are used, they may sometimes show no minorities or women for particular job
titles (either because there were none at the time the census was taken, or
because the actual number was so low as to cause the number to be "suppressed."
Where this occurs, contractors should be encouraged to broaden the area of
consideration to include other, related categories, which do show minorities
and/or women.
(f)The availability of promotable and transferable minority/fe-male
employees within the contractor's organization (Refer to 41 CFR
60-2.11(b)(1)(vi) and 41 CFR 60-2.11(b)(2)(vi)).
This is the percentage of minorities/women who are in feeder job groups and
who are (at the start of the AAP year) or who will become (during the AAP year)
promotable or transferra-ble from those job groups into the job group under
consideration.
In evaluating this factor for acceptability:
(1) Determine the Accuracy of Feeder Job Groups: The EOS should identify
the feeder job groups, if any, from which individuals are, or reasonably could
be, promoted or transferred to the job group under consideration.
oThe EOS can determine actual feeder job groups by examining where persons
who were promoted or transferred into the job group under consideration came
from. This may be done by identifying the previous job group of persons who
entered the target job group during the last AAP year and/or--where that
activity has been too limited to be representative--through examination of the
work histories of persons in the target job group to determine their immediately
preceding job group. Feeder groups may also be identified through review of
labor agreements and/or written promotion/transfer policies.
oThe EOS, however, should be observant of any indications that the skills
brought by promotees/
transferees to the target job group are similarly available in other
potential feeder groups, particularly if those other potential feeder groups
have substantially better representation of minor-ities or women. Where this is
the case, the contractor should broaden its feeder group defini-tion,
consistent with its affirmative action obligations.
(2)Percentage of Minorities/Women: The contractor may conclude that the
percentage of promotable minorities/ women in the feeder job groups is
approximately equivalent to their representation in those groups. Where,
however, there are legitimate seniority or special qualification requirements
for promotion/transfer to the target job group, the contractor may identify
those persons who are or will become qualified during the AAP year and the
percentage that minorities/women represent among those persons (for a discussion
of "legitimate" qualification requirements, see Chapters 3 and 7).
Where the contractor identifies specific promotable/ transferable persons, this
can be verified by identifying the legitimate criteria used in determining who
is promotable or transferrable, and by reviewing the employment histories of
persons in the feeder job groups.
(3)Relevance of Factor: The importance of this factor will be related to
whether the contractor normally fills jobs in the target job group by promotion
from within or by hire. Review of employment activity for the prior AAP year
will show the proportion of placements which resulted from internal movement as
opposed to new hire. Where this activity has been too limited to be
representative, the work histories of persons in the target group may be
reviewed to determine the proportion who came via promotion or transfer vs. by
new hire. In addition, labor agreements often contain rules governing promotion
and transfer for jobs in certain sectors of the workforce.
(g)The existence of training institutions capable of training persons in the
requisite skills (Refer to 41 CFR 60-2.11(b) (1)(vii)and 41 CFR
60-2.11(b)(2)(vii)): This may be the percentage of minorities and women
enrolled in those educational and training institutions serving the
contractor's recruitment needs.
(1)Sources of Data: Contractors should contact those educational and
training institutions with programs which match their employment needs. These
can range from local high schools with business or vocational programs through
local technical schools to colleges nationwide. Such institutions should be
able to provide data on the number and percentage of minorities and women
enrolled in programs appropriate to the contractor's employment needs.
(2)Relevance of Factor: The extent to which the contrac- tor considers this
factor will depend on the degree to which new graduates of such programs are or
can be utilized in making placements to a particular job group. For example, a
contractor filling positions in an entry-level clerical job group may hire new
graduates from local high schools and business colleges, but may hire only
experienced persons for a non-entry level clerical job group.
(h)The degree of training which the contractor is reasonably able to
undertake as a means of making all job classes available to minorities/women
(Refer to 41 CFR 60-2.11(b) (1)(viii) and 41 CFR 60-2.11(b)(2)(viii)): This
factor requires the contractor to make an assessment of the number of employees
who could, with appropriate training, become promotable or transferrable during
the AAP year, and to determine what percentage minorities/women constitute of
that number.
(i)Data Used Must Be Accurate: Data used for each availability factor must
be accurate and up-to-date. Sources of data must be identified in the AAP.
(j)Consideration of Each Factor: The contractor must consider each factor
and must explain in its AAP how it has done so. It may not be necessary,
however, for the contractor to make each factor a part of any final availability
estimate. Only those factors which are relevant to the actual availability of
the job group under evaluation need be used. Moreover, contractors may give
differential consideration (e.g., by mathematical weighting or by other means)
to some or all of the individual factors in determining final availability
estimates for each job group. Where a contractor gives such differential
consideration to factors, the AAP should specifically identify the weights
applied or other methods used. If the AAP contains no explanation of how the
contractor has considered each factor, or if an explanation is provided but
further investigation and verification is needed (e.g., if the AAP states that
certain job groups are filled solely by internal means, and this cannot be
verified from the AAP), the EOS should plan to address the matter onsite.
(k)Summary Guidelines For Audit of Acceptability: In summary, in evaluating
a contractor's final availability estimates for acceptability, the following
general guidelines can be used:
(1)Entry Level Jobs, No Special Skills/Experience: For entry level jobs
which do not require any special skills or experience, availability for
minorities and women should be close to their workforce participation rates;
(2)Entry Level Jobs, Some Skills/Experience: For entry level jobs which
require some skills (education and/or experience), availability for minorities
and women should be at least equal to the requisite skills figure for either the
reasonable recruiting area or immediate recruiting area, whichever figure is
larger;
(3)Jobs Filled Through Internal Means Only: For jobs which are filled
solely through internal means, availability should normally be at least equal to
the percentage which minorities and women represent in all appropriate feeder
job groups.
2G06IDENTIFICATION OF UNDERUTILIZATION
The regulations at 41 CFR 60-2.11(b) define underutilization as "...having
fewer minorities or women in a particular job group than would reasonably be
expected by their availability." Contractors are required in the AAP to
compare availability to incumbency for each job group, and to identify those job
groups which are underutilized. In evaluating the acceptability of the method
used by a contractor to determine underutilization, EOSs must ensure that the
method used conforms to the requirements of the regulations, that it is
appropriate, and that it has been accurately applied.
2G07GOALS
Having identified a job group as underutilized for minorities and/or women,
the contractor must establish employment goals and exert every good faith effort
toward meeting them. Such goals must be established separately for minorities
and women. In setting goals, the contractor should consider:
(a)Level of Goals: Goals for an underutilized job group must be at least
equal to the percentage availability of minorities or women (as appropriate)
for the job group, as determined by a properly developed utilization analysis
which considers at least those factors discussed in section 2G05 above (see 41
CFR 60-2.11(b)).
(b)Goals Are not Quotas: 41 CFR 60-2.12(e) indicates that goals ". . .
may not be rigid and inflexible quotas which must be met, but must be targets
reasonable attainable by means of applying every good faith effort to make all
aspects of the entire affirmative action program work."
(c)Separate Goals by Particular Minority Group: Where appropriate,
separate goals may also be required by particular minority group(s) or by sex
within a particular minority group if there is a substantial disparity in the
utilization of a particular minority group or of men or women of a particular
minority group. Where the EOS identifies such a substantial disparity (see
Section 2K01(d) and the instructions for SCRR page 7) and the contractor has
not estab-lished a separate goal, the EOS will first determine if the disparity
represents potential discrimination. If potential discrimination is not found,
separate affirmative action goals to eliminate the disparity may be required
(see 41 CFR 60-2.12(l)). In order to ensure that such goals are reasonable,
they should be based on a separate availability analysis for the minority group
(or men or women of the minority group) involved in the job group(s) where the
disparity is observed.
2G08ADOPTING AN EEO POLICY
41 CFR 60-2.13(a) requires that a contractor commit itself, in writing, to a
policy of equal employment opportunity in all personnel actions. The policy
statement must be in the AAP. It should be signed by the top establishment
official and dated. It must be reaffirmed annually. 41 CFR 60-2.20 provides
guidance for evaluating the content of the contractor's EEO policy statement.
2G09DISSEMINATION OF THE POLICY
41 CFR 60-2.13(b) requires that the AAP provide for formal inter-nal and
external dissemination of the contractor's policy. To be acceptable, the AAP
must address how the policy is disseminated, internally and externally. 41 CFR
60-2.21 provides guidance for evaluating dissemination of the policy. For
example, the AAP may state that the policy is posted in conspicuous places
accessible to employees and applicants for employment, and that the policy is
discussed with management employees having responsibility for making employment
decisions. External dissemination may include notifying recruitment sources,
community organizations, subcontractors and labor unions, where applicable, of
its policy on equal employment opportunity and affirmative action.
2G10RESPONSIBILITY FOR IMPLEMENTATION
Under 41 CFR 60-2.13(c), contractors are required to provide for the
implementation of the AAP. To be acceptable, the AAP must identify the person
who is responsible for implementation of the policy and must describe how the
policy is implemented, in sufficient detail for the EOS to be able to audit
compliance. Guidance as to the types of actions a contractor may take to
implement this requirement is provided at 41 CFR 60-2.22. For example, an EEO
officer is central to the success of the affirm-ative action program, since he
or she is responsible for ensuring that the contractor takes steps to implement
the AAP. The AAP should identify the EEO Officer by name and/or title, and may
describe his or her duties and responsibilities as well as those of line
managers with respect to EEO.
2G11IDENTIFICATION OF PROBLEM AREAS
41 CFR 60-2.13(d) requires that problem areas (or deficiencies) be
identified by organizational unit and by job group. 41 CFR 60-2.23 provides
additional guidance on some types of self-analyses which contractors may conduct
in identifying problem areas. To be acceptable, the AAP must provide evidence
that the contractor has addressed the following:
(a)Employment Processes: The contractor must examine its basic employment
processes (recruitment, hiring, training, promotion, transfer, termination) to identify any impediments to the full utilization of minorities and women. To do so, in its AAP, the contractor may
use any analysis that measures how these processes affect minorities and women.
For example, the contractor may use Impact Ratio Analyses (NOTE: Please also
see Sections 2H01(a) and 2O04 of this Chapter for the contractor's obligations
under 41 CFR Part 60-3 to maintain employment activity data and analyze them for
adverse impact. While not a required AAP ingredient, the
contractor may choose to use this analysis as a tool for problem
identification in this section of its AAP).
(b)Organizational Unit: The contractor must examine the distribution of
minorities and women among its organization-al units. To do so, the contractor
may use any analysis that identifies any problem areas in such distribution, for
example, the contractor may use a Job Area Acceptance Range (JAAR) type analysis
to identify areas of minority or female concentration/underrepresentation)
and/or a utilization analysis applied to job groups within such units.
2G12ESTABLISHMENT OF GOALS AND OBJECTIVES - GOALS BY ORGANIZATIONAL UNIT
41 CFR 60-2.13(e) requires that goals and objectives by organ-izational unit
as well as job group be established to correct identifiable deficiencies. Goals
by organizational unit, however, refer to action-oriented efforts rather than
percentage goals. Where problem areas by organizational unit have been
identified in accordance with 41 CFR 60-2.13(d), the AAP must include a
description of the efforts which the contractor has taken or will take to
correct those problem areas. This correc-tive action may be addressed in the AAP
section on Development of Action-Orientated Programs (below), and may include
goals for the improvement of recruitment efforts, dissemination of additional
information on job openings (e.g., pay, opportunities, duties), encouraging
transfers and promotions, creating training opportunities, etc.
2G13DEVELOPMENT AND EXECUTION OF ACTION-ORIENTED PROGRAMS
41 CFR 60-2.13(f) requires the development and execution of action-oriented
programs to correct identified problem areas and to attain established goals and
objectives. 41 CFR 60-2.24 provides suggested standards which the EOS can use
to assess the contractor's compliance with this requirement. For example, the
contractor may commit to increasing the number of qualified minorities and women
in the appropriate candidate pool, since with more women and minorities in the
candidate pool, the logical outcome, absent discrimination, is an increase in
the number of minorities and women hired, promoted, etc.
(a)Contractor Responsibility: It is the contractor's responsibility to both
develop and execute action-oriented programs. However, it is the EOS'
responsibility to make a professional judgement as to:
(1)Specificity: Whether the action-oriented programs are sufficiently
specific and result-oriented to accomplish the aims for which they were created;
and
(2)Execution: Whether the action-oriented programs were properly executed.
(b)Specific Action-Oriented Programs: A specific action-oriented program is
one that indicates what the action is, who will accomplish it, how it will be
accomplished and when it will be accomplished. An action-oriented program
without any one of these ingredients cannot be considered specific.
Action-oriented programs designed to increase candidate pools can be developed
in two stages, (1) steps to be taken immediately to develop internal pools and
to establish a link with potential external pools; and (2) steps to be taken
each time a vacancy occurs in an underutilized area.
(c)Results-Oriented Programs: A results-oriented action program is one
tailored in such a way that proper execution will result either in an increase
in the minority group/female representation in the job group, if vacancies occur, or clear
documentation of contractor action sufficient to constitute good faith effort.
An action-oriented program that does not meet this standard cannot be considered
results-oriented.
(d)Acceptability of Action Items: The AAP's action items must be
sufficient, if implemented in good faith, to ensure that each of its specific
objectives and the overall intent of equal employment opportunity are achieved.
2G14INTERNAL AUDIT AND REPORTING
41 CFR 60-2.13(g) requires the contractor to design and implement internal
audit and reporting systems which measure the effectiveness of its total
affirmative action program. This system must be detailed in its AAP. The
system must permit adequate monitoring of progress made toward goal
accomplishment and implementation of other affirmative action commitments.
(a)Guidelines for Assessing Acceptability: The regulations at 41 CFR
60-2.25 provide guidance for assessing the acceptability of a contractor's
internal audit and reporting system. An acceptable audit and reporting system
is one which allows the contractor to measure the effectiveness of its total
program. Such a system should include specific procedures for monitoring goals
progress and analyzing employment activity.
(b)Monitoring Goals Progress: Since utilization and availability analyses
are conducted by job group, and where problems are identified, goals are
established by job group, monitoring of goals progress should be at least by
job group. The importance of effective internal audit and reporting systems in
goal areas is further underscored by 41 CFR 60-1.40(c), which requires that the
results of the AAP shall be compiled annually (see Section 2H00 below).
(c)Monitoring Personnel Activity: Audit and reporting systems should also
monitor personnel activity (e.g., hires, promotions/transfers, terminations, and other activity) at least by job group and, where appropriate, by organizational unit. The regulations at 41 CFR
60-1.40(b) require that a contractor's analysis include hiring practices,
upgrading, transfer and promotion for the past year.
(d)Information to be Maintained: The regulations at 41 CFR 60-3.4 and
60-3.15A require that contractors with 100 or more employees: (1) maintain and
have available for each job, records sufficient to disclose the impact of the
selection process for that job on women and on each minority group for whom
EEO-1 reporting is required; and (2) conduct adverse impact analyses for women
and for each minority group that constitutes 2% or more of the relevant labor
area or of the applicable internal workforce. Where a contractor deter-
mines that a selection process has an adverse impact, evi-dence of validity,
as described in 41 CFR Part 60-3 must also be maintained and made available.
Contractors with fewer than 100 employees must maintain the records set forth in
41 CFR 60-3.15A(1)--e.g. the number of applicants and persons hired, promoted
and terminated by sex and by each minority group (as defined in (d)(1) above)
which consti-
tutes 2% or more of the labor force in the relevant labor area. Such small
employers, however, are not required to conduct adverse impact analyses of these
data. See further discussion under Sections 2H01(a) and 2O04 below and in
Questions and Answers Nos. 82-88 of Adoption of Questions and Answers to Clarify
and Provide a Common Interpretation of the Uniform Guidelines on Employee
Selection Procedures.
2G15SEX DISCRIMINATION GUIDELINES
The regulations at 41 CFR 60-2.13(h) require that the AAP contain evidence
of the contractor's compliance with the Sex Discrimina-
tion Guidelines at 41 CFR Part 60-20. The requirements of the Executive
Order are deemed to preempt any State or local laws restricting the employment
of women. See 41 CFR 60-2.31 and 41 CFR 60-20.3(f).
To be acceptable, the AAP must address each of the required subitems listed
in the regulations; specifically 41 CFR 60-20.2 through 60-20.6. The contractor
should delineate in the AAP how each subitem is being implemented. These
subitems include, but are not limited to:
(a)Conditions of Employment (Refer to 41 CFR 60-20.3, 60-20.4, 60-20.5 and
60-20.6): A contractor must not make a distinc-tion based on sex in conditions
of employment. Where State laws provide special minimum wages, overtime pay, or
brief rest periods for women, these benefits must also be given to men. In
addition, contractors may not use these laws as bases for refusing to hire women
or for limiting their hours of work, etc. AAPs must provide for the elimination
of any policies, procedures, or working conditions inconsistent with the
requirement of equal treatment.
(b)Distinctions Based on Marital Status (Refer to 41 CFR 60-20.3(d)): Any
distinction between married and unmarried persons must apply equally to both
sexes. For example, a contractor cannot refuse to hire women with young
children unless it applies the same exclusionary policy to men.
(c)Bona Fide Occupational Qualification (BFOQ) (Refer to 41 CFR 60-20.3(b)):
A contractor must consider women as well as men for all jobs, unless sex is a
bona fide occupational qualification (BFOQ). Under Title VII, sex has been
found to be a BFOQ for a job only in extremely rare instances. Among these have
been:
(1)Authenticity: Jobs involving a need for authenticity or genuineness,
such as actors or models.
(2)Personal Privacy: Jobs where the performance of essen-tial job elements
would entail substantial invasion of personal privacy (for example, a permanent
restroom attendant). This is limited to situations where the normal operation
of the contractor's business depends on the employee being of the same sex as
its employees or customers and there is no other way that privacy could be
ensured. IMPORTANT: This is different from customer preference. For example,
a contractor cannot refuse to hire female salespersons in the belief that they
will not be as well accepted by customers as males.
(d)Employment Opportunities (Refer to 41 CFR 60-20.3(b), 3(c) and 5(b):
(1)Hazardous Jobs: A contractor may not exclude women from a job it may
believe is dangerous or unsuitable for women to perform unless sex is a BFOQ
(see Section 2G15(c) above).
(2)Reproductive Hazards: OFCCP follows Title VII prin-ciples when
determining whether a policy excluding
women from a job because of a concern about reproduc-tive hazards is
discriminatory. If a question relat-ing to reproductive hazards arises during a
compliance review, the EOS should consult, through appropriate channels, with
the Regional Solicitor's Office.
(e)Wage Discrimination (Refer to 41 CFR 60-20.3(c) and 41 CFR 60-20.5(a)and
(b)): A contractor must compensate employees without regard to sex. The most
obvious form of wage discrimination occurs when men and women are paid different
wages for performing the same jobs, or jobs which are substantially equal.
(f)Employment Advertising (Refer to 41 CFR 60-20.2(b)): A con-tractor's
advertisements in newspapers or other media must not express a sex preference
unless the job is one for which sex is a BFOQ (see Section 2G15(c) above). The
placement of ads in columns headed "male" or "female" (or "male
interest" or "female interest") or which otherwise indicate an
orien-tation with regard to sex is considered an expression of preference,
limitation, or specification based on sex and is prohibited.
(g)Employee Benefits: Refer to discussion of this issue in Chapter 3.
(h)Maternity Leave: Refer to discussion of this issue in Chapter 3.
2G16SUPPORT OF COMMUNITY ACTION PROGRAMS
The AAP must address the contractor's active support of local and national
community action programs and community service programs which are designed to
improve the employment opportunities of mi-norities and women, as required by 41
CFR 60-2.13(i). The regu- lations at 41 CFR 60-2.26 provide guidance on the
types of activ-ities which demonstrate active support of local and national
com-munity action and community service programs. Among these are the
appointment of key members of management to serve on the boards of such
organizations, and active participation in pro- grams for youth sponsored by the
National Alliance of Business-men. To be acceptable, the AAP should identify
the programs supported, and indicate the type of support (i.e., personnel,
equipment, etc.) given to local and national programs designed to improve
employment opportunities for minorities and women. The EOS should be familiar
with the types of programs available, both locally and nationally. The types of
programs, and the degree of support provided, should be consistent with the
nature of the problems identified in the AAP, and may form a component part of
the contractor's organizational goals and development of action programs.
2G17CONSIDERATION OF MINORITIES AND WOMEN NOT CURRENTLY IN THE WORKFORCE
The regulations at 41 CFR 60-2.13(j) require that the AAP address the
contractor's consideration of minorities and women not cur- rently in the
workforce having requisite skills who can be re- cruited through affirmative
action measures. To be acceptable, the AAP should specify the contractor's
involvement with programs which facilitate the employment of minorities and
women. Pro- grams offered by the contractor could include providing part-time
employment, flexible hours (flexitime) or dependent care bene-fits, as well as
participating in high school or college co-op programs, particularly with
educational institutions with signi-ficant minority and/or female enrollments.
2HREVIEW OF EXECUTIVE ORDER SUPPORT DATA FOR ACCEPTABILITY
2H00REPORT ON GOALS
41 CFR 60-1.40(c) requires that the contractor prepare a report of results
of its prior year AAP. This report is part of the support data for the AAP, and
is requested on the itemized list-ing enclosed with the Scheduling Letter
(Figure 2-2a, paragraph f). The listing requests summary data and information
indicating the numerical and other results of affirmative action goals for each
job group for the current year and for the preceding year. For each goal not
attained (prior year) or not being attained (current year), the contractor is
requested to describe its good faith efforts. Prior year data should always be
submitted, unless the contractor was not previously covered by 41 CFR
Part 60-2; current year data should be provided at least where the
contractor is six months or more into its current AAP year at the time it
receives the Scheduling Letter.
(a)Data Required: As noted above, the contractor must provide summary data
indicating the numerical results of affirmative action goals for each job group.
(1)Information on Job Groups with Goals: To measure results of goals, one
must first know for which job groups goals were established and what those goals
were. The contractor's current AAP submitted for desk audit will show this
information for current year goals. Where the contractor's report on prior year
goals does not specifically state what the prior year goals were, the EOS will
contact the contractor and request that a copy of the goals section of its prior
year AAP be forwarded to permit evaluation of prior year goals progress.
(2)Information on Placements into Job Groups with Goals: Since an annual
goal is established in terms of a per- centage placement rate, evaluating
progress towards it requires knowledge of the total number of placements into
the job group and the number of minority or female placements, as appropriate.
If the contractor's prog-ress report does not give this information or gives it
only in part (i.e., the number of minority/female but not total placements,
etc.), the EOS will determine if the information can be extracted from the
contractor's submission of personnel activity data. If it cannot be so
extracted, the EOS will contact the contractor and ask that it forward a copy of
reports on goals progress prepared under its internal audit and reporting
systems (41 CFR 60-2.13(g)) and/or, if the contractor employs 100 or more
persons, a copy of the underlying data it used for its adverse impact
determinations on hires, promotions and any other placements into job titles
within the job group (see Section 2H01(a)(2) below).
(b)Good Faith Effort: Where the contractor's report does not describe its
good faith efforts in a job group where a goal was established but not attained,
or does not describe those efforts in sufficient detail for the EOS to evaluate
their adequacy, the EOS will include the job group as part of the onsite plan
for evaluation of good faith effort (SCRR page
11).
2H01 PERSONNEL ACTIVITY DATA
The itemized listing enclosed with the Scheduling Letter requests
information on personnel activities (e.g., selection--applicant flow and hiring,
promotion and transfer, and terminations) for the prior and current "goal"
(AAP) years. The listing requests that the data be provided by race (meaning by
each minority group for whom EEO-1 reporting is required) and sex for each job
group, but permits a contractor to submit the information "...in the form
in which it is available."
(a)When Data Are Not Submitted: If, in response to the Scheduling Letter,
the contractor does not submit any personnel activity data, or does not submit
data for one or more of the activity elements of applicants, hires, promotions
or terminations, a Show Cause Notice should be issued.
(1)If a Show Cause Notice is being issued at desk audit for other reasons
(e.g., see Sections 2C01 and 2F), the failure to submit the activity data will
be included in that Notice.
(2)If the only reason a Show Cause Notice is being issued is failure to
submit the activity data, see Chapter 8, Figure 8-3.
Revised 5-25-90
(b) Regulatory Citations:
(1)General Data Requirements under the Uniform Guidelines on Employee
Selection Procedures (41 CFR Part 60-3):
41 CFR 60-3.4(A) requires that each contractor ". . . 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. . ."
Such identifiable groups are defined by 41 CFR 60-3.4(B) as those groups for
whom
EEO-1 reporting is required--i.e., Blacks, Hispanics, Asian/Pacific
Islanders, American Indians/Alaskan Natives--along with Whites and totals.
(2)Data Requirements under 41 CFR Part 60-3 for Contractors with 100 or More
Employees*: Contractors with 100 or more employees are more specifically
required by 41 CFR 60-3.15A(2) to maintain and have available records for each
job on applicants, hires, promotions and terminations (and any other selection
decisions) by sex and by each minority group for whom EEO-1 reporting is
required (also see Sections 2G14(d) and 2O04(a)).
(3)41 CFR Part 60-2 Requirements: In addition to the basic record keeping
requirements in 41 CFR 60-3.4 and 60-3.15, the requirements discussed earlier in
this Chapter that the AAP identify problem areas (41 CFR
60-2.13(d)) and include internal audit and reporting systems (41 CFR
60-2.13(g)) may be cited because they cannot be acceptably implemented without
maintenance and analysis of the basic data on employment activity required by 41
CFR 60-3.4 and 60-3.15. Failure to submit specific types of employment activity
may be cited as follows:
(a)Applicant Flow and Hires: 41 CFR 60-2.12(m) requires that the AAP
contain, as part of the supporting data, applicant flow data and applicant
rejection ratios (hiring IRAs) indicating minority and sex status. Such
applicant rejection ratios cannot be computed without data on hires by minority
group and sex. Also, 41 CFR 60-1.40(b)(2) requires that the AAP contain an
analysis of hiring practices for the past year (including recruitment sources
and testing).
__________
*Simplified record keeping requirements for employers of under 100 persons
are described at 41 CFR 60-3.15A(1), and summarized in 2G14(d). They are not
reiterated here because OFCCP only occasionally reviews supply and service
contractors with under 100 employees.
Revised 5-25-90
(b)Promotions (Transfers, Upgrading Generally): 41 CFR 60-1.40(b)(3)
requires that the AAP include an analysis of upgrading, transfer, and promotion
for the past year.
(c) Review of Data Submitted for Acceptability
(1)Data Format: To be acceptable for desk audit, the data must be presented
either by job group (as requested in the Scheduling Letter) or by job title (as
required by 41 CFR Part 60-3; see Section 2H01(b)(1) and (2)
above. If data are submitted in some larger aggrega-tion than job group,
see Section 2H01(d) below. For example, data by total workforce are not
acceptable, nor are data by EEO category, unless a category legit-imately
constitutes a job group at the particular establishment (see Section 2G02).
(2)Information to be Included: For each job group or job title, support
data in each major area (applicant flow, hires, promotions and terminations)
must include at least: the total number of actions, the total number of actions
for women, and the total number of actions for each minority group (as specified
in 2H01(a)(1) above). For example, applicant flow for a job group or job must
include at least total applicants, total female applicants and total applicants
of each minority group; hires for a job group or job title must include at least
total hires, total female hires and total hires of each minority group, etc.
(3)Period To Be Covered: Generally, the longer the period covered the
better, because the data are more likely to reflect the contractor's usual way
of operating. At minimum, however, the data must cover the prior AAP year and,
if the contractor is six months or more into its current AAP year when it
receives the Scheduling Letter, the data must also at least cover the first six
months of the current AAP year.
(d)Action When Data Are Unacceptable: If employment activity data are
submitted, but are not acceptable (are, as noted immediately above, in
aggregations larger than job group; are not provided by sex and/or by each
minority group, etc.), the EOS should call the contractor and request that the
appropriate changes be made and the data resubmitted within 10 calendar days.
If, at the end of 10 calendar days, the data have not been received in a form
that is acceptable, a Show Cause Notice should be issued which itemizes the
regulatory sections with which the contractor has been found in violation. (see
Section 2H01(b)(1) and (2) and Figure 8-4).
Revised 5-25-90
2IREVIEW OF SECTION 503 AND 38 U.S.C. 4212 AAP(S) FOR ACCEPTABILITY
2I00GENERAL
As with an Executive Order AAP, the determination of the accept-ability of
items listed on page 4 of the SCRR for Section 503 and 38 U.S.C. 4212 AAPs is
limited to the evaluation which can be conducted at desk audit. This is
different from an evaluation of the contractor's implementation of these items
which normally is done onsite (see Chapter 3). Additionally, the Section 503
and 38 U.S.C. 4212 regulations require a number of contractor actions that,
while they need not be addressed in the AAP (although most contractors choose to
do so) must be carried out. These addi-tional requirements are covered on SCRR
page 13, which is nor-mally completed onsite.
2I01ITEMS TO BE INCLUDED
The regulations at 41 CFR 60-741.5(a) require that a Section 503 AAP set
forth the contractor's policies, practices, and proce-dures in accordance with
41 CFR 60-741.6. To be acceptable, a contractor's Section 503 AAP must address
at least those items listed in 41 CFR 60-741.6(a) through (f). Similarly, the
regula-tions at 41 CFR 60-250.5(a) require that a 38 U.S.C. 4212 AAP set forth
the contractor's policies, practices and procedures in accordance with 41 CFR
60-250.6. Therefore, to be acceptable, a contractor's 38 U.S.C. 4212 AAP must
address at least those items listed in 41 CFR 60-250.6(a) through (f). Since
these items--(a) through (f)--are similar in both regulations, they are
discussed together below (where there are differences, it is pointed out).
2I02POLICY STATEMENT (Refer to 41 CFR 60-250.4(a) and 250.6(a) and 41 CFR
60-741.4(a) and 741.6(a).)
Contractors are required to take affirmative action to employ and advance in
employment qualified special disabled veterans, veterans of the Vietnam era,
and individuals with disabilities. The con-tractor must affirm its commitment
to this affirmative action re-quirement by incorporating it in a policy
statement included in its AAP(s).
2I03REVIEW OF PERSONNEL POLICIES FOR PROPER CONSIDERATION OF QUALIFICATIONS
(Refer to 41 CFR 60-250.6(b) and 41 CFR 60-741.6(b).)
To be acceptable, the AAP(s) must affirm that the contractor has reviewed
its personnel processes to determine whether its present procedures ensure
careful, thorough, and systematic consideration of the job qualifications of
known individuals with disabilities, special disabled veterans, and Vietnam era
veterans who are applicants for job vacancies filled by employment or promotion,
and for all training opportunities offered or available.
(a)Use of Appendices B and C: The procedures described at 41 CFR Part
60-250, Appendix B and/or 41 CFR Part 60-741, Ap- pendix C may be utilized in
fulfillment of this requirement. Those procedures describe how the applications
or personnel forms of covered veterans and persons with disabilities may be
annotated regarding consideration for employment opportunities.
(b)Additional Requirement Under 41 CFR Part 60-250: 41 CFR 60-250.6(b) also
requires the contractor to limit its consider-ation of a covered veteran's
military record to only the portion of that record which is relevant to the
specific job qualifications for which the veteran is being considered. This
should be affirmed in the AAP.
(c)Adequacy of Present Procedures: If the contractor asserts that its
present procedures are adequate, this is acceptable if the EOS' investigation
shows that individuals with disabilities and covered veterans are afforded
hire, promotion and training opportunities.
2I04PHYSICAL AND MENTAL QUALIFICATIONS (Refer to 41 CFR 60-250.6(c)(1) and
41 CFR 60-741.6(c)(1).)
The AAP must contain the contractor's schedule for the review of all
physical and mental job qualification requirements.
(a)Scheduled Review: To be acceptable, the AAP must either affirm that the
review of physical and mental job qualifications requirements has been completed, or provide a specific time schedule by which jobs are to be reviewed. Where the AAP indicates that the review has
been completed, the contractor is not required to review those physical and
mental job qualification requirements again unless there is a change in working
conditions. The AAP should state, however, that where there is such a change
in working conditions--for example, through increased automation--the re-
quirements will be reevaluated.
(b)Job-Relatedness of Physical and Mental Qualifications: The AAP must
affirm that physical or mental job qualification requirements, to the extent
that such requirements tend to screen out qualified individuals with
disabilities or qualified special disabled veterans, shall be related to the
specific jobs for which such individuals are being considered, and shall be
consistent with business necessity and the safe performance of the job (refer to
41 CFR 60-250.6(c)(2) and 41 CFR 60-741.6(c)(2)).
(c)Confidentiality of Information: To be acceptable, the AAP must affirm
that whenever the contractor inquires into an applicant or employee's physical
or mental condition or conducts a medical examination prior to employment or
change in employment status, information obtained as a result will be kept
confidential, except as otherwise provided for in the regulations (see 41 CFR
60-250.6(c)(3) and 41 CFR 60-741.6(c)(3)).
2I05REASONABLE ACCOMMODATION TO PHYSICAL AND MENTAL LIMITATIONS (Refer to 41
CFR 60-250.6(d)and 41 CFR
60-741.6(d).)
Contractors are required to make reasonable accommodation to the physical
and mental limitations of individuals with disabilities and special disabled
veterans, unless the contractor can demonstrate that such accommodation would
impose an undue hardship on the conduct of its business. In determining the
extent to which a contractor is obligated to make accommodations, such factors
as business necessity and financial costs and expenses may be considered. To
be acceptable, this section of the AAP must contain the contractor's policy with
respect to reasonable accommodations. That statement must be consistent with
the requirements of the regulations.
2I06COMPENSATION (Refer to 41 CFR 60-250.6(e) and 41 CFR 60-741.6(e).)
In order to address this requirement in an acceptable manner, the AAP must
affirm that, in offering employment or promotion to in- dividuals with
disabilities, special disabled veterans, or veterans of the Vietnam era, the
amount of compensation offered is not reduced due to their receipt of any
disability income, pension or other benefit received from another source.
2I07OUTREACH, POSITIVE RECRUITMENT, EXTERNAL DISSEMINATION OF POLICY Refer
to 41 CFR 60-250.6(f) and 41 CFR
60-741.6(f).)
An acceptable AAP must affirm that the contractor reviews its employment
practices, and must at least state that appropriate outreach and positive
recruitment activities are undertaken where indicated by the findings of such
reviews. The AAP may also describe in some detail the steps taken by the
contractor in its review of employment practices and the resulting outreach and
recruitment activities. 41 CFR 60-250.6(f) and 41 CFR 60-741.6(f) provide
additional guidance in assessing the accept- ability of this part of the
contractor's AAP(s).
2I08ADDITIONAL AAP INGREDIENTS
The following additional ingredients should be included in the contractor's
Section 503 and 38 U.S.C. 4212 AAP(s):
(a)Internal Dissemination of Policy (Refer to 41 CFR 60-250.6 (g) and 41 CFR
60-741.6(g)): The AAP should address the contractor's procedures for internal
dissemination of its affirmative action policy. The regulations cited above
provide examples of the types of activities contractors may take in this area
(e.g., contractors may conduct meetings with executive, managerial, and
supervisory personnel to explain the intent of the policy and to delineate
individual responsibility for its implementation, include the policy in internal
publications, etc.).
(b)Responsibility for Implementation (Refer to 41 CFR 60-250.6 (h) and 41
CFR 60-741.6(h)): The AAP should identify the person(s) responsible for
implementing the contractor's policy with respect to individuals with
disabilities and covered veterans and should describe his or her
responsibilities. It should also describe the responsibilities of line
man-agement in carrying out the policy. The regulations cited above provide
further guidance in this area.
(c)Development and Execution of Action Programs (Refer to 41 CFR 60-250.6(i)
and 41 CFR 60-741.6(i)): The AAP should include a description of the specific
action programs which have been developed and implemented by the contractor.
The regulations cited above provide guidance on types of action programs. While
the action programs described are guide- lines, not requirements, they do
provide a means by which the contractor's efforts to comply with its affirmative
action and equal employment opportunity obligations, as described in the AAP(s),
can be evaluated.
2JSUMMARY OF PROBLEMS WITH AAP AND SUPPORT DATA AND DEVELOPMENT OF ONSITE
PLAN
Problems identified with the completeness, reasonableness and/or
acceptability of the AAPs and support data are checked on page 4 of the SCRR,
and the specific problem described on SCRR page 9. For each such problem,
actions taken at desk audit to resolve it and/or actions planned for onsite are
described.
2J00ITEMS RESOLVED AT DESK AUDIT
Some problems with the AAP(s) and support data may be resolved at desk audit
after further contact with the contractor. For exam-ple, if the problem were "Can't
evaluate job group acceptability because there is no information on what job
titles are in each group," the entry may be "Called J. Smith 5/1/88
and asked him to send a list of titles in each group. List received 5/8/88."
2J01ITEMS TO BE RESOLVED ONSITE - ONSITE PLAN
Other items will only be resolvable onsite, and an onsite plan for each
should be briefly described. For example, if the problem were "Minority
availability for Foremen group appears low given minority % in blue collar area,"
the entry may be "Determine how foreman jobs filled. If internally,
examine incumbents' files to identify feeder jobs." If a problem has not
been resolved by the conclusion of desk audit, the column labeled "Onsite?"
on SCRR page 9 is checked. These checked items constitute the onsite plan for
resolving AAP and support data problems.
2KOVERVIEW OF PERSONNEL ACTIVITY, EEO TRENDS AND WORKFORCE
STRUCTURE/PERSONNEL PRACTICES
2K00PERSONNEL ACTIVITY (SUMMARY)
Page 5 of the SCRR provides an overview, by EEO-1 category, of personnel
activity during the prior year. A summary of data on hires, promotions and
terminations should be abstracted from the data provided by the contractor, and
entered on the page. A similar report, using a substitute SCRR page, can be
prepared from EEO-6 data for educational institutions. This information, used
in conjunction with historical data analyzed through the EEO Trend Analysis
(below) provides a broad framework for later detailed review by job group of
affirmative action progress (placement goals) and potential discrimination in
employment activity (Impact Ratio Analysis). Also, because this information is
by particular minority group, it can be used in conjunction with the EEO Trend
Analysis (below) to identify any potential problems for a particular minority
group.
2K01EEO TREND ANALYSIS
An initial assessment of the contractor's workforce and utilization trends
can be made by reviewing EEO-1 reports. Page 6 of the SCRR is a Worksheet for
entry of EEO-1 data and page 7 provides for a narrative evaluation of those
data.
(a)Long-Term, Short-Term: Current AAP data are compared with: (1) the
contractor's profile approximately five years ago
(drawn from the earliest data on the current EEDS report) to look at
long-term trends; and (2) that profile approximately one year ago to look at
short-term trends. An alternate SCRR page 6 is available for use with EEO-6
data (which are reported on a two-year cycle) for university reviews. This
information provides an overview of:
oThe distribution of jobs within the contractor's workforce (white-collar,
blue-collar, predominant EEO categories);
oThe direction of change in the total workforce and particular categories
(expanding, contracting, stable); and
oWhether minority and female representation has been increasing or
decreasing, and in what areas.
(b)Changes Due to Reclassifications: If the EOS observes major changes in
the sizes of EEO categories (p. 6) with little or no corresponding activity (p.
5), further investigation onsite may be needed to determine if the changes are
due to the reclassification of jobs with concentrations of minorities or women
from one EEO-1 category to another. For example, suppose the total number of
positions in the craft category increases from one year to the next and
indicates an increase in women. Over the same time period, however, both the
total number of operative positions and the total number of women listed as
operatives decreases. The EOS may then infer that the increase in crafts may
have resulted from the contractor's changing the EEO-1 category of the women's
jobs, rather than from genuine promotions.
(c)EEO Category Patterns: This analysis also permits identification of
broad areas where minorities/women have been persistently underrepresented or
concentrated, setting a framework for the detailed review of the workforce
analysis for potential discrimination problems and review of the contractor's
goals progress by job group.
(d)Particular Minority Group: Additionally, this analysis permits
identification of any substantial disparity in the representation of a
particular minority group--whether in the workforce as a whole or in certain
categories--when compared to the distribution of particular minority groups in
the contractor's labor area and/or in possible internal feeder categories.
Where such a disparity is identified, the EOS should plan to conduct standard
discrimination analyses by the particular minority group, at least in those
workforce areas where the disparity exists and for the type of activity most
likely to have created the disparity. For example, if Hispanics are well
represented in the labor area, but have historically been absent from the
contractor's workforce, the EOS should plan to conduct hiring IRAs separately
for Hispanics. Or, if Blacks have historically been concentrated in Laborers,
but poorly represented in Operatives and Crafts: (1) the EOS' review of the
workforce analysis should focus on the types of jobs held by Blacks and any
structural impediments to upward mobility from those jobs; and (2) the EOS' blue
collar IRAs--particularly for promotions and hires into jobs above
Laborers--should be conducted separately for Blacks. Further discussion of such
separate discrimination analysis for a particular minority group is given at
Sections 2N00 and 2O02 below. Please also note that if investigation of such a
disparity does not show discrimination, the EOS should consider whether goals
and/or specific affirmative action steps for the particular group are warranted
(see Section 2G07(c) above).
2K02WORKFORCE STRUCTURE, PERSONNEL PRACTICES
In the initial review of the AAP and support data, the EOS eval-uated the
workforce analysis for reasonableness and acceptabil-ity. As a result, the EOS
should have a basic understanding of the contractor's organization and
operations. For example, the workforce analysis should show whether the
contractor's facility is organized by department or other unit (e.g., division),
whether lines of progression exist, how pay is structured, and other
characteristics which may prove useful for subsequent analyses of both
affirmative action and potential discrimination issues. Other supporting data
which may be provided with the AAP, such as copies of labor agreements, should
provide additional information regarding pay rates, work performed,
organizational structure, and rules for internal mobility, at least in the blue
collar sector. This information, to the extent that it is available during the
desk audit, should be entered on page 8 of the SCRR.
2LGOALS PROGRESS AND GOOD FAITH EFFORTS
A contractor's compliance posture is not measured by whether it met all its
goals, but rather whether it made a good faith effort to do so. Generally,
however, if properly determined goals in a job group were met, further
examination of good faith effort with respect to that job group is unnecessary.
Therefore, in order to focus the investigation of good faith effort, the
following steps are taken: (1) measure the degree of progress in job groups
where goals were established and opportunities occurred; (2) evaluate the
contractor's resulting overall goals performance; and (3) identify areas where
specific additional information is needed in order to evaluate good faith
effort.
2L00 ANALYSIS OF GOALS PROGRESS
As noted earlier, to be acceptable, AAP support data must include a report
of progress on prior AAP year goals. Also, a report of progress on current
goals should be included at least if the con-tractor is six months or more into
its current AAP year when it receives the Scheduling Letter. This report should
be used to conduct the analysis of goals progress on page 10 of the SCRR.
(a)Data Needed: To conduct this analysis, first the EOS must identify the
job groups for which goals were established at the beginning of the period under
review. Second, the percentage placement goal for each such group must be
determined. Third, for each such job group, the number of total placements and
the number of minority and of female placements must be determined. If this
information has not been submitted for desk audit (see Section 2H00 above), the
EOS will conduct the analysis below at whatever point in the review sufficient
information is obtained.
(b)Analysis: The analysis itself takes into consideration the number of
opportunities in relationship to the goal. More specifically, the percentage
placement goal is multiplied by the number of placements that actually occurred
to determine how many minorities/women would have been placed if the goal were
met. This result is then compared to the number of minorities/women who
actually were placed, and the difference--plus or minus--entered.
EXAMPLE: If the contractor set a goal of 10% for minorities in XYZ job
group and had 20 openings, the goal would have been met if it placed 2
minorities (.10 X 20). If the contractor actually placed one minority, the
difference would be "-1." On the other hand, if it actually placed
five minorities, the difference would be "+3."
If the contractor established a goal for a particular minor-ity group or for
men or women of a particular minority group (see Section 2G07(c) above), the
evaluation of progress on that goal is conducted in the same fashion as in the
above example. See the SCRR instructions for page 10 for further examples.
(c)Net Change: SCRR page 10 also has an optional part II on Workforce
Change, which provides for entry of data on job group incumbency (total, women
and minorities) at the begin-ning of the period and at the end of the period,
and determination of net change (plus or minus). This information may be
useful in identifying job groups where, although there has been progress in
placements, there has been little or no improvement in minority and/or female
representation (this can be for either positive or negative reasons--i.e.,
disproportionate promotions out, terminations, etc.). It can also help the EOS
to focus on anomalies in the contractor's data, such as increases in job group
size without evidence of placement activity.
2L01EVALUATION OF GOOD FAITH EFFORT
(a)Overall Performance: In evaluating the contractor's good faith effort,
an overall assessment | 
