Letter L-9: Construction Compliance Evaluation Notice
VIA CERTIFIED MAIL
RETURN RECEIPT REQUESTED
(Date)
(Name of Senior Contractor Official)
(Title of Senior Contractor Official)
(Contractor Name)
(Street Address)
(City, State, Zip Code)
Dear (Name of Senior Contractor Official):
The U.S. Department of Labor, Office of Federal Contract Compliance Programs (OFCCP), selected your construction projects located in the (as appropriate, insert either 1) the name(s) of Standard Metropolitan Statistical Area(s) (SMSA) or 2) the name of the non-SMSA(s)) for a compliance evaluation. The purpose of this evaluation is to determine if your company is in compliance with its equal employment opportunity (EEO) obligations under Executive Order 11246, as amended.
As you are aware from your previous communications with OFCCP, the on-site compliance evaluation will begin on (insert date) at your (insert address or other location) and it covers your employment policies, practices and EEO activities during the review period of (insert date) through (insert date). The compliance evaluation will cover all of your construction projects, i.e., nonfederal, federal and federally assisted projects within the geographic area(s) described above.
While on-site, you should expect OFCCP to request to review and copy various documents, in the form in which you maintain them, related to your employment policies, practices and EEO activities. This information is needed in order for OFCCP to assess your compliance with Executive Order 11246, including the affirmative action steps required to provide equal opportunity in each trade employed on your construction projects within the geographic area(s) described above. You can find more details about these affirmative action obligations at 41 CFR Part 60-4. This evaluation will assess your efforts to prevent discrimination and take affirmative action, and the records you maintain to document these efforts.
[INSERT THIS PARAGRAPH IF THE CONTRACTOR IS SUBJECT TO SECTION 503 and VEVRAA] The evaluation will also assess the state of your company’s compliance with its affirmative action and nondiscrimination obligations under Section 503 of the Rehabilitation Act of 1973, as amended (Section 503), and the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended (VEVRAA). You can find more details about these obligations at 41 CFR Part 60-300 (VEVRAA) and 41 CFR Part 60-741 (Section 503).
You can facilitate the compliance evaluation process by making the personnel responsible for your employment processes, including assessing EEO compliance, and an officer of (name of company) available during our on-site review. Provided with this letter is an attachment, Attachment A: Sample On-site Documents. This attachment is a nonexhaustive list of some of the documents OFCCP could request during the on-site portion of the compliance evaluation. Please do not generate, collect, copy and send any documents listed on this attachment to our office because the attachment is not a records production request. It is, however, informational in that it should provide you some idea of what information OFCCP could request during the on-site review.
During the on-site visit, an OFCCP compliance officer will specifically request documents and records to review and copy, as necessary. In addition, the compliance officer will visit one or more of your construction sites and interview some of your employees. Additional records pertaining to the requirements of 41 CFR Chapter 60 may be requested at a later point in the compliance evaluation.
If you have any questions, please contact compliance officer (insert name of the compliance officer) in the (insert name of field office) office of OFCCP at (insert telephone number).
Sincerely,
(Name of district director)
District Director
Enclosure
ENCLOSURE: SAMPLE ON-SITE DOCUMENTS
1) Original payroll records for the specified review period.
a) Payroll records that identify the total hours worked by each trade in the geographic area(s), either the Standard Metropolitan Statistical Area(s) (SMSA) or the non-SMSA(s), and include the sex, race and ethnicity of each employee.
b) Payroll records that identify the overtime hours worked by each trade in the geographic area(s) described above, and include the sex, race and ethnicity of each employee.
2) Personnel records for the specified review period.
a) Personnel records that list the apprentices working in the applicable geographic area(s) during the specified review period, including the name of each apprentice employee, job classification, sex, race and ethnicity of the employee.
b) Personnel records that list applicants (including referrals from any source), hires, promotions, layoffs, recalls and terminations (voluntary or involuntary) of construction trade employees during the review period in the applicable geographic area(s). The list should also include the name, job classification, sex, race and ethnicity of each employee.
3) Documents demonstrating how the company implements each of the specific affirmative action steps outlined in 41 CFR 60-4.3(a) paragraph 7(a-p).
4) Subcontracts more than $10,000 for federal and federally assisted contracts for the review period.
5) EEO Policy statement used by your company.
6) Notifications sent to OFCCP of subcontract awards of more than $10,000.
7) Records of notices to the company’s subcontractors about their EEO obligations.
8) EEO-1 Reports for the last two years.
9) A list of all construction projects (federal, nonfederal and federally assisted) by name and location in the applicable geographic area(s) during the specified review period, including identifying whether each project is commercial or residential. For each federally funded project, OFCCP may seek additional information such as:
a) Funding agency;
b) Amount of contract;
c) Date of award;
d) Date construction started;
e) Percent completed; and
f) Estimated completion date.
10) Communications with unions and community organizations regarding the company's EEO obligations and recruitment efforts to hire women and minorities, qualified individuals with disabilities if the company is subject to Section 503 and protected veterans if the company is subject to VEVRAA.
11) Records identifying trade organization affiliations and unions that provide workers for the company’s construction contracts, including a copy of any applicable collective bargaining agreements.
12) Written affirmative action programs for individuals with disabilities and protected veterans, if the company is subject to Section 503 and VEVRAA.
13) Copies of purchase orders.
14) Copies of employment advertisements.