OFCCP Recordkeeping and Reporting Requirements--Supply and Service

OMB NO. 1250-0003

Expires 04/30/2023

VIA CERTIFIED MAIL

(NUMBER)

RETURN RECEIPT REQUESTED

(Name of contractor official)

(Title of contractor official)

(Establishment Name)

(Street Address)

(City, State, Zip Code)

Dear (Name of contractor official):

The U.S. Department of Labor, Office of Federal Contract Compliance Programs (OFCCP), selected your ___________________ [Insert: establishment located at (address), functional unit (name or description of functional unit), or corporate headquarters located at (address)] for a focused review on disability and religious accommodations under the authority of Executive Order (EO) 11246, Section 503 of the Rehabilitation Act of 1973 (Section 503), the Vietnam Era Veterans’ Readjustment Assistance Act of 1974 (VEVRAA) and their implementing regulations in 41 CFR Chapter 60.

A compliance evaluation, including a focused review, may consist of any one or any combination of investigative procedures. OFCCP describes the phases of a compliance evaluation in the regulations at 41 CFR Chapter 60. For the desk audit, please submit the following information:

1. a copy of your current Executive Order 11246 Affirmative Action Program (AAP) prepared in accordance with the requirements of 41 CFR §§ 60-1.40 and 60-2.1 through 60-2.17;

2. a copy of your current Section 503 AAP prepared in accordance with the requirements of 41 CFR §§ 60-741.40 through 60-741.47;

3. a copy of your current VEVRAA AAP prepared in accordance with the requirements of 41 CFR §§ 60-300.40 through 60-300.45;

4. the support data specified in the enclosed Itemized Listing.

Please submit your AAP(s) and the Itemized Listing support data to the email address listed below or to the address listed on page one of this letter as soon as possible, but no later than 30 days from the date you receive this letter. Pursuant to 41 CFR §§ 60-1.12(e), 60-300.80(c), and 60-741.80(c), failure to preserve complete and accurate records constitutes non-compliance with your obligations as a federal contractor or subcontractor. Once the evaluation begins, you are required to maintain all personnel and employment records described in the regulations enforced by OFCCP until the final disposition of the evaluation.¹

We encourage you to submit your information in an electronic format to reduce the amount of time it takes to complete our evaluation of your [Insert establishment, functional unit, or corporate headquarters]. Should you opt to email your submissions, use email address _________. Please use caution when submitting large electronic files. Check with the OFCCP Compliance Officer and your system administrator to ensure adherence to administrative and system guidelines.

You should be aware that OFCCP may initiate enforcement proceedings if you fail to submit AAPs and support data that represent a reasonable effort to meet the requirements of the regulations in 41 CFR Chapter 60. Please also be aware that OFCCP may use the information you provide during a compliance evaluation in an enforcement action. We may also share that information with other enforcement agencies within DOL, as well as with other federal civil rights enforcement agencies with which we have information sharing agreements.

Finally, the public may seek disclosure of the information you provide during a compliance review. Under current law and regulations, OFCCP is required to comply with the Freedom of Information Act, the Trade Secrets Act, the Privacy Act, Executive Order 12600, and DOL’s FOIA regulations at 29 CFR § 70.26, all of which govern the disclosure of confidential commercial information.²

Please contact ____________at ______________if you have any questions concerning the compliance evaluation.

Sincerely,

(Name of District Director)

District Director

Enclosure (1)

Itemized Listing

ITEMIZED LISTING

1. The utilization analysis evaluating the representation of individual with disabilities in each job group, or, if appropriate, evaluating the representation of individuals with disabilities in the workforce as a whole, as provided in 41 CFR § 60-741.45. If you are six months or more into your current AAP year on the date you receive this listing, please also submit information that reflects current year progress.

2. A copy of your collective bargaining agreement(s), if applicable. Include any other documents you prepared, such as policy statements, employee notices or handbooks, etc. that implement, explain, or elaborate on the provisions of the collective bargaining agreement.

3. Information on your EO 11246 affirmative action goals for the immediately preceding AAP year and, where applicable (see below), progress on your goals for the current AAP year.³

For the immediately preceding AAP year, this report must include information that reflects:

1. job group representation at the start of the AAP year (i.e., total incumbents, total minority incumbents, and total female incumbents);

2. the placement goals established for minorities and women at the start of the AAP year; and

3. the actual number of placements (hires plus promotions) made during the AAP year into each job group with goals (i.e., total placements, total minority placements, and total female placements). For goals not attained, describe the specific good faith efforts made to remove identified barriers, expand equal employment opportunity, and produce measurable results.

If you are six months or more into your current AAP year on the date you receive this Scheduling Letter and Itemized Listing, please also submit information that reflects progress on goals established in your current AAP year, and describe your implementation of action-oriented programs designed to achieve these goals.⁴

4. Data on your employment activity (applicants, hires, promotions, and terminations) for the immediately preceding AAP year and, if you are six months or more into your current AAP year when you receive this listing, provide the information in (a) through (d) below for at least the first six months of the current AAP year. You should present this data by job group (as defined in your AAP) or by job title.⁵

1. Applicants: For each job group or job title, this analysis must consist of the total number of applicants identified by gender and by race/ethnicity.⁶ For each job group or job title, applicants for whom race and/or gender is not known should be included in the data submitted. However, if some of your job groups or job titles (most commonly, entry-level) are filled from the same applicant pool, you may consolidate your applicant data for those job groups or titles. For example, where applicants expressly apply for or would qualify for a broad spectrum of jobs (such as “Production,” “Office,” etc.) that includes several job groups, you may consolidate applicant data.

2. Hires: For each job group or job title, this analysis must consist of the total number of hires identified by gender and race/ethnicity.

3. Promotions: For each job group or job title, provide the total number of promotions by gender and race/ethnicity. Also, include a definition of “promotion” as used by your company and the basis on which they were compiled (e.g. promotions to the job group, from and/or within the job group, etc.). If it varies for different segments of your workforce, please define the term as used for each segment. If you present promotions by job title, include the department and job group from which and to which the person(s) was promoted.

4. Terminations: For each job group or job title, provide the total number of employee terminations by gender and race/ethnicity. When presenting terminations by job title, include the department and job group from which the person(s) terminated.

5. Employee level compensation data for all employees (including but not limited to full-time, part-time, contract, per diem or day labor, and temporary employees) as of the date of the organizational display or workforce analysis. Provide gender and race/ethnicity information and hire date for each employee as well as job title, EEO-1 Category and job group in a single file.⁷ If the requested data is maintained in an electronic format, please provide it electronically.

1. For all employees, compensation includes base salary and or wage rate, and hours worked in a typical workweek. Other compensation or adjustments to salary such as bonuses, incentives, commissions, merit increases, locality pay or overtime should be identified separately for each employee.

2. You may provide any additional data on factors used to determine employee compensation, such as education, past experience, duty location, performance ratings, department or function, and salary level/band/range/grade.

3. Documentation and policies related to compensation practices of the contractor should also be included in the submission, particularly those that explain the factors and reasoning used to determine compensation.

6. Copies of reasonable accommodation policies, and documentation of any accommodation requests received and their resolution, if any.

7. Your most recent assessment of your personnel processes, as required by 41 CFR §§ 60-300.44(b) and 60-741.44(b), including a description of the assessment and any actions taken or changes made as a result of the assessment.

8. Your most recent assessment of physical and mental qualifications, as required by 41 CFR §§ 60-300.44(c) and 60-741.44(c), including the schedule of the assessment and any actions taken or changes made as a result of the assessment.

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB control number. Your response is required as a condition of your federal contract or subcontract, pursuant to 41 CFR Chapter 60. The estimated public reporting burden for this information collection is 10 hours, including the time for evaluating instructions, searching existing data sources, gathering and maintaining the data needed, and completing and evaluating the collection of information. If you have comments regarding the estimated reporting burden, or suggestions for reducing the burden, please send them to the Office of Federal Contract Compliance Programs (OFCCP), Division of Policy and Program Development, 200 Constitution Avenue, N.W., Room C-3325, Washington, D.C. 20210, and reference OMB Control Number 1250-0003.

1 41 CFR §§ 60-1.12(a), 60-300.80(a), and 60-741.80(a).

2 41 CFR §§ 60-1.20(g), 60-300.81, and 60-741.81; 5 U.S.C. § 552.

3 41 CFR §§ 60-1.12(a), 60-2.1(c), and 60-2.16.

4 41 CFR §§ 60-1.12 and 60-2.17(c).

5 41 CFR §§ 60-1.12, 60-2.11 to -2.12, 60-2.17(b)(2) and (d)(1), 60-3.4, and 60-3.15.

6 The term “race/ethnicity” as used throughout the Itemized Listing includes these racial and ethnic groups: African-American/Black, Asian/Pacific Islander, Hispanic, American Indian/Alaskan Native, and White. You also have the option of submitting the requested data using the race and ethnic categories on the EEO-1 survey.

7 41 CFR § 60-2.17(b)(3) and (d).

4