5B Pre-Desk Audit Actions

Before the CO begins the FAAP compliance evaluation, the FAAP Branch will provide the CO with a Case Chronology Log, a copy of the FAAP agreement and a copy of the Scheduling Letter. The CO assigned to the compliance evaluation will prepare for the desk audit by:

  • Creating a case file;
  • Obtaining compliance history reports;
  • Following up with the contractor within 15 days after the Scheduling Letter is sent;
  • Reviewing community resource files;
  • Contacting the EEOC and DOL enforcement agencies, such as WHD and the OSHA, as appropriate; and
  • Coordinating with the FAAP Branch to obtain any other information about the contractor and the functional or business unit to prepare for the desk audit. The following sections review these steps.

5B00 Creation and Maintenance of the Case File

The FAAP Branch will create an electronic Case Chronology Log for each FAAP evaluation.297 The evaluation is transferred to the regional office when the Scheduling Letter is issued. At that time, the FAAP Branch will provide the electronic Case Chronology Log to the CO who will maintain and complete it as directed in FCCM 1B01.

The CO must create and maintain a case file for each scheduled compliance evaluation. The case file should generally consist of the items detailed in FCCM 1B02 on creating a case file. For a FAAP compliance evaluation, the case file should also include a copy of the approved FAAP Agreement, as signed by the Director of OFCCP, or designee. The FAAP Branch will provide the CO a copy of the most recently approved FAAP agreement upon the scheduling of a new compliance evaluation. This information should be included in the case file in Folder 1.

297. Figure F-2 – Case Chronology Log.

5B01 Sending the Scheduling Letter and Itemized Listing

The Chief of the FAAP Branch signs the Scheduling Letter and Itemized Listing for a FAAP compliance evaluation and sends it by certified mail to the managing official of the functional or business unit selected for a compliance evaluation.298 The FAAP Branch Chief also mails a copy of the Scheduling Letter and Itemized Listing to the corporate contact person identified in the FAAP agreement. Should a Scheduling Letter be received during the review and approval stages (i.e., after submission of the FAAP request but before the effective date of the agreement) the evaluation will be completed as an establishment-based evaluation. A contractor receiving a Scheduling Letter during the 120 calendar day FAAP implementation period may have its scheduled establishment-based compliance evaluation administratively closed.

The Itemized Listing requests only data supporting the functional or business unit selected for review. Prior to sending the Scheduling Letter notifying a functional or business unit of a scheduled compliance evaluation, the FAAP Branch will contact the corporate contact person to verify that the functional or business unit still exists, and to verify the name, title, mailing address and phone number of the managing official.

It is important to note that the contractor may also have standard establishment-based AAPs covering the remainder of its workforce. OFCCP will schedule compliance evaluations in accordance with the standard scheduling system for parts of a contractor’s workforce that are covered by establishment-based AAPs. If a region schedules a compliance evaluation of an establishment that is covered by a functional or business unit, the regional office and CO must contact the FAAP Branch to verify if the establishment is covered within an approved functional or business unit. The FAAP branch will advise the regional office and CO whether to administratively close the evaluation.

298. Figure F-3 – OFCCP Scheduling Letter and Itemized Listing.

5B02 Follow-Up Contact with Contractor

When OFCCP sends the Scheduling Letter and Itemized Listing to the contractor, the FAAP Branch will provide a copy to the regional office. The contractor will submit its FAAP directly to the regional office identified in the Scheduling Letter. Within 15 calendar days after the Scheduling Letter and Itemized Listing are sent, the CO must contact the corporate contact person to ensure that the contractor understands the requirements outlined in these items. If there are questions, the CO will provide technical assistance to clarify the requirements and the compliance evaluation process.

5B03 OFCCP Compliance History Reports

The CO must check OFCCP’s CMS and EIS to obtain a list of prior compliance evaluations of the functional or business unit, corporation and its other related functions or establishments. If the FAAP Branch has other historical information on the functional or business unit under review, the branch will provide this information to the region upon initiation of the FAAP review. Checking to determine if the prior evaluations identified any issues is an important preparatory step. If issues are identified in the historical files, the CO must review the record to determine how they were resolved. These previously identified issues may provide useful information and possible indicators of current problem areas. Any violations found in past compliance actions must be recorded in Part A of the SCER. If a prior review of this unit resulted in a CA, the on-site review should provide an opportunity to confirm that the contractor took, and appropriately maintained, the required corrective action.

5B04 Contacting EEOC, VETS and Other Agencies

As discussed in Chapter 1, it is the agency’s practice to contact the EEOC, VETS, state employment services, and EEO and labor enforcement agencies upon the initiation of a compliance evaluation. Such information helps to provide a better understanding of the contractor’s workforce and operations, and may indicate potential problem areas.

However, because of the nature of a FAAP compliance evaluation, the job groups and titles that are under review may be located at multiple locations throughout the country. Therefore, for FAAP reviews, contact with these government agencies is not made upon the initial mailing of the Scheduling Letter. Rather, the CO should contact these agencies after reviewing the desk audit findings to determine which locations would have information relevant to assessing the contractor’s nondiscrimination and affirmative action efforts.

Page Last Reviewed or Updated: December 23, 2019