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Voluntary Diversity Self-Assessment of Financial Institutions Regulated by the CFPB
Small: all entities with 100 employees or less
Large: all entities with over 100 employees
Organization information
Please provide information about your organization.	Name of entitity/address/period covered by assessment/date submitted
Please list diversity and inclusion officer or equivalent:	Name, position, phone numbers and email for point of contact for entity
Please list the supplier diversity and inclusion officer or equivalent (if different from D&I Officer):	Name, position, phone numbers and email for point of contact for entity
Please list your company’s diversity and inclusion website URL:	Company's website or URL
Please briefly include a description of the Financial Institution Covered by this Assessment (e.g., governance structure, workforce size, total assets, geographic location(s), and community characteristics).
Organizational Commitment to Diversity and Inclusion	Yes	No	Activities that Support Program Success or Program Challenges
In a manner reflective of the individual entity’s size and other characteristics:
The entity includes diversity and inclusion considerations in both employment and contracting as an important part of its strategic plan for recruiting and hiring, as well as for promotion and retention.
The entity has a diversity and inclusion policy that is approved and supported by senior leadership, including senior management and the board of directors.
The entity provides regular progress reports to the board and senior management.
The entity regularly conducts training and provides educational opportunities on equal employment opportunity and on diversity and inclusion.
The entity has a senior-level official, preferably with knowledge of and experience in diversity and inclusion policies and practices, who oversees and directs the entity’s diversity and inclusion efforts.
The entity takes proactive steps to promote a diverse pool of candidates, including women and minorities, in its recruiting, hiring, promotion, and retention efforts, as well as in its selection of board members, senior management, and other senior leadership positions.
Workforce Profile and Employment Practices	Yes	No	Activities that Support Program Success or Program Challenges
In a manner reflective of the individual entity’s size and other characteristics:
The entity implements policies and practices related to workforce diversity and inclusion in a manner that complies with all applicable laws.
The entity ensures equal employment opportunities for all employees and applicants for employment and does not engage in unlawful employment discrimination based on gender, race, or ethnicity.
The entity has policies and practices that create diverse applicant pools for both internal and external opportunities that may include:
Outreach to minority and women organizations.
Outreach to educational institutions serving significant minority and women student populations.
Participation in conferences, workshops, and other events to attract minorities and women and to inform them of employment and promotion opportunities.
In a manner reflective of the individual entity’s size and other characteristics:
The entity utilizes both quantitative and qualitative measurements to assess its workforce diversity and inclusion efforts. These efforts may be reflected, for example, in applicant tracking, hiring, promotions, separations (voluntary and involuntary), career development, and retention across all levels and occupations of the entity, including the executive and managerial ranks.
The entity holds management at all levels accountable for diversity and inclusion efforts, for example, by ensuring that such efforts align with business strategies and individual performance plans.
Procurement and Business Practices—Supplier Diversity	Yes	No	Activities that Support Program Success or Program Challenges
In a manner reflective of the individual entity’s size and other characteristics:
The entity has a supplier diversity policy that provides for a fair opportunity for minority-owned and women-owned businesses to compete for procurement of business goods and services. This includes contracts of all types, including contracts for the issuance or guarantee of any debt, equity, or security, the sale of assets, the management of the entity’s assets, and the development of the entity’s equity investments.
The entity has methods to evaluate its supplier diversity, which may include metrics and analytics related to:
Annual procurement spending.
Percentage of contract dollars awarded to minority-owned and women-owned businesses by race, ethnicity, and gender.
Percentage of contracts with minority-owned and women-owned business subcontractors.
The entity has practices to promote a diverse supplier pool, which may include:
Outreach to minority-owned and women-owned contractors and representative organizations.
Participation in conferences, workshops, and other events to attract minority-owned and women-owned firms and inform them of contracting opportunities.
An ongoing process to publicize its procurement opportunities.
Practices to Promote Transparency of Organizational Diversity and Inclusion	Yes	No	Activities that Support Program Success or Program Challenges
In a manner reflective of the individual entity’s size and other characteristics, the entity is transparent with respect to its diversity and inclusion activities by making the following information available to the public annually through its website or other appropriate communication methods.
The entity publicizes its diversity and inclusion strategic plan.
The entity publicizes its policy on its commitment to diversity and inclusion.
The entity is transparent about its progress toward achieving diversity and inclusion in its workforce and procurement activities, which may include the entity’s current workforce and supplier demographic profiles.
The entity publicizes its opportunities to promote diversity, which may include:
Current employment and procurement opportunities.
Forecasts of potential employment and procurement opportunities.
The availability and use of mentorship and developmental programs for employees and contractors.
Entities’ Self-Assessment	Yes	No	Activities that Support Program Success or Program Challenges
In a manner reflective of the individual entity’s size and other characteristics:
The entity conducts an assessment of its diversity policies and practices annually.
The entity monitors and evaluates its performance under its diversity policies and practices on an ongoing basis.
The entity publishes information pertaining to its assessment of its diversity policies and practices.
Diversity Data
Workforce Profile
What are the numbers and percentages of women and minorities in the entity’s total workforce for the period covered by this assessment?	Total workforce	Number & Percent of Women	Number & Percent of Minorities
What are the numbers and percentages of women and minorities in the entity’s Executive/Senior Level Officials and Managers job category for the period covered by this assessment?	Total executive/senior level officials and managers	Number & Percent of Women	Number & Percent of Minorities
What are the numbers and percentages of women and minorities of the entity’s Board of Directors for the period covered by this assessment?	Total board members	Number & Percent of Women	Number & Percent of Minorities
Procurement - Supplier Diversity
What is the entity’s total annual procurement spend for the period covered by this assessment with women- and minority-owned businesses compared with the total procurement spend with all vendors and suppliers?	Total spend	Number & Percent of Women-Owned Spend	Number & Percent of Minority-Owned Spend
[Threaded comment] Your version of Excel allows you to read this threaded comment; however, any edits to it will get removed if the file is opened in a newer version of Excel. Learn more: https://go.microsoft.com/fwlink/?linkid=870924 Comment: Send these to Lora on Monday and let her know these are the questions we're adding to the form Questions to Add: GFE Compliance
Does this entity have a diversity and/or EEO policy statement concerning inclusion of minorities and women in the workforce? Please explain your response and/or attach supporting documentation.
Does the entity have a succession plan and/or professional development plan in place to identify and develop women and minorities at all levels of the organization?
Does the entity have an external communication plan (brochures, newsletter, or advertisements) concerning the inclusion of minorities and/or women in your workforce?
DUNS Identifier/Unique Entity Identifier
Minority-Owned Business?	Yes/No
Women-Owned Business?	Yes/No
FAR Small Business?	Yes/No
Total Annual Income	$$
[Threaded comment] Your version of Excel allows you to read this threaded comment; however, any edits to it will get removed if the file is opened in a newer version of Excel. Learn more: https://go.microsoft.com/fwlink/?linkid=870924 Comment: Flag for removal Reply: (As this is already asked above) Number of Women	# in workforce
[Threaded comment] Your version of Excel allows you to read this threaded comment; however, any edits to it will get removed if the file is opened in a newer version of Excel. Learn more: https://go.microsoft.com/fwlink/?linkid=870924 Comment: Added Reply: Is this language okay? Number of employees identifying as two or more races
Number of Asian Americans	# in workforce
Number of Black Americans	# in workforce
Number of Hispanic Americans	# in workforce
Number of Native Americans	# in workforce
Questions to Add: Data Collection
Please identify the entitiy's product offerings:	Debt collection; Credit reporting, credit repair services, or other personal consumer reports; Mortgage; Credit card or prepaid card; Checking or savings account; Vehicle loan or lease; Student loan; Payday loan, title loan, or personal loan (installment loan or personal line of credit); Money transfer, virtual currency, or money service (check cashing service, currency exchange, cashier’s/traveler’s check, debt settlement)
How many employees does the entity have across all sites?
Questions to Add: Diversity & Inclusion
External Diversity: How does the entity advance economic equity for traditionally marginalized communities?
Is the entity engaged in programming such as:	a. Offering products for traditionally underserved communities (down payment assistance, housing counseling, etc., small dollar loans, credit repair services, etc.) b. Providing job/career services or programs aimed at underserved communities c. Supporting Community Development Financial Institutions (CDFIs) and/or Minority Depository Institutions d. Partnering with local/non-profit organizations to reach underserved consumers e. Philanthropy, including donation matching f. Other equity initiatives (please explain)
Has the entity made a public commitment to diversity and inclusion on your website or within external-facing materials?
If yes, please explain:
Has the entity conducted an analysis of the demographics of its consumers?	Yes/No
If yes, have you used this analysis to inform the products and services that you provide?	Yes/No
If yes, please explain: