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Federal Contract ComplianceManual (FCCM)www.dol.gov/agencies/ofccp

Federal Contract Compliance Manual (FCCM)TABLE OF CONTENTSINTRODUCTION .1CHAPTER 1 DESK AUDIT .31AINTRODUCTION .31A00 TYPES OF COMPLIANCE EVALUATIONS .31A01 CONTENTS OF CHAPTER .51A02 PURPOSE OF THE DESK AUDIT .51A03 PRINCIPLES AND FOCUS OF DESK AUDITS .51A04 USE OF THE STANDARD COMPLIANCE EVALUATION REPORT .61A05 CASE MANAGEMENT SYSTEM.71A06 CONFIDENTIALITY OF INFORMATION .81A07 NOVEL ISSUES .81A08 CORPORATE MANAGEMENT COMPLIANCE EVALUATIONS .91A09 FUNCTIONAL AFFIRMATIVE ACTION PROGRAMS .91A10 PREAWARD COMPLIANCE EVALUATIONS .91A11 EDUCATIONAL INSTITUTION EVALUATIONS.91BPRE-DESK AUDIT ACTIONS .111B00 INITIAL CONTACT WITH THE CONTRACTOR .111B01 PREPARATION AND MAINTENANCE OF THE CASE CHRONOLOGYLOG .121B02 CREATION AND MAINTENANCE OF THE CASE FILE .131B03 SENDING THE SCHEDULING LETTER AND ITEMIZED LISTING .161B04 FOLLOW-UP CONTACT WITH CONTRACTOR AND JURISDICTIONCHALLENGES .161B05 CONTACTING EEOC, VETS AND OTHER AGENCIES .171B06 INFORMATION ON COMPLAINTS FILED WITH OR BY OTHERAGENCIES .181B07 RELATIONSHIP OF OFCCP COMPLIANCE ACTIVITIES TO LITIGATIONOR COURT ORDERS .191B08 REVIEW OF COMMUNITY RESOURCE FILES .191B09 REVIEW OF PREVIOUS COMPLIANCE ACTIONS .191CRECEIPT OF AAPs AND ITEMIZED LISTING DATA FOR DESK AUDIT .201C00 NONRECEIPT OF AAPs .201C01 NONRECEIPT OF ITEMIZED LISTING DATA .201C02 REGULATORY CITATIONS FOR RECORDKEEPING .211C03 EVALUATION PERIOD .231C04 ADDITIONAL DATA REQUESTS .231DREVIEW OF AAPs: OVERVIEW .24Table of Contents i

Federal Contract Compliance Manual (FCCM)1EREVIEW OF ALL AAPs AND ITEMIZED LISTING DATA TO ENSURESUBMISSIONS INCLUDE REQUIRED CONTENT .251E00 ACTION WHEN AAP IS NOT CURRENT .251E01 INCLUSION .251E02 MISSING AAP ELEMENTS .251E03 MISSING ITEMIZED LISTING DATA.281FREVIEW OF AN EXECUTIVE ORDER AAP AND ITEMIZED LISTINGDATA FOR ACCEPTABILITY .281F00 ORGANIZATIONAL PROFILE.291F01 JOB GROUPS.301F02 EXECUTIVE ORDER UTILIZATION ANALYSIS .321F03 PLACEMENT GOALS .341F04 ADDITIONAL REQUIRED ELEMENTS OF AN EXECUTIVEORDER AAP .341F05 REVIEW OF EXECUTIVE ORDER ITEMIZED LISTING DATA FORACCEPTABILITY .361GREVIEW OF A SECTION 503 AAP AND ITEMIZED LISTING DATA FORACCEPTABILITY .401G00 ITEMS INCLUDED .401G01 POLICY STATEMENT .401G02 CONTRACTOR REVIEW OF PERSONNEL PROCESSES.411G03 CONTRACTOR REVIEW OF PHYSICAL AND MENTALQUALIFICATIONS .411G04 REASONABLE ACCOMMODATION TO PHYSICAL AND MENTALLIMITATIONS .421G05 HARASSMENT .431G06 EXTERNAL DISSEMINATION OF EEO POLICY .431G07 OUTREACH AND POSITIVE RECRUITMENT .431G08 INTERNAL DISSEMINATION OF EEO POLICY .441G09 AUDIT AND REPORTING SYSTEM .441G10 OFFICIAL RESPONSIBLE FOR AAP IMPLEMENTATION.441G11 TRAINING TO ENSURE AAP IMPLEMENTATION.451G12 DATA COLLECTION ANALYSIS.451G13 UTILIZATION GOAL ANALYSIS FOR INDIVIDUALS WITHDISABILITIES .451HREVIEW OF A VEVRAA AAP AND ITEMIZED LISTING DATA FORACCEPTABILITY .461H00 ITEMS INCLUDED .461H01 POLICY STATEMENT .461H02 CONTRACTOR REVIEW OF PERSONNEL PROCESSES .471H03 CONTRACTOR REVIEW OF PHYSICAL AND MENTALQUALIFICATIONS .481H04 REASONABLE ACCOMMODATION TO PHYSICAL AND MENTALLIMITATIONS .48Table of Contents ii

Federal Contract Compliance Manual NT .49EXTERNAL DISSEMINATION OF EEO POLICY .49OUTREACH AND POSITIVE RECRUITMENT .49INTERNAL DISSEMINATION OF EEO POLICY .50AUDIT AND REPORTING SYSTEM .50OFFICIAL RESPONSIBLE FOR AAP IMPLEMENTATION.50TRAINING TO ENSURE AAP IMPLEMENTATION.51DATA COLLECTION ANALYSIS.51VEVRAA HIRING BENCHMARK .511ISUMMARY OF ACCEPTABILITY PROBLEMS WITH AAPs ANDITEMIZED LISTING DATA .531JANALYSIS OF SECTION 503 AAP: REVIEW OF ONLINE APPLICATIONPROCESS .531KANALYSIS OF AN EXECUTIVE ORDER 11246 AAP: OVERVIEW OFITEMIZED LISTING DATA, EEO TRENDS, WORKFORCE STRUCTUREAND PERSONNEL PRACTICES .541K00 EEO-1 TREND ANALYSIS .541K01 WORKFORCE STRUCTURE AND PERSONNEL PRACTICES .551LANALYSIS OF AN EXECUTIVE ORDER 11246 AAP: GOALS PROGRESSAND GOOD FAITH EFFORTS .561L00 ANALYSIS OF GOALS PROGRESS .561L01 EVALUATION OF GOOD FAITH EFFORTS .571L02 PLAN FOR EVALUATION OF GOOD FAITH EFFORTS .571MBASIS FOR POTENTIAL DISCRIMINATION ANALYSES .581NANALYSIS OF AN EXECUTIVE ORDER 11246 AAP: AUDIT OFORGANIZATIONAL PROFILE.581N00 UNDERREPRESENTATIONS AND CONCENTRATIONS .591N01 DETERMINING THE RELEVANT WORKFORCE SECTOR AND JOBAREAS .591N02 ANALYSIS BASED ON A PARTICULAR RACE OR ETHNICITY .611OANALYSIS OF EXECUTIVE ORDER 11246 EMPLOYMENT ACTIVITYDATA .621O00 CONDUCTING STATISTICAL ANALYSES OF EXECUTIVEORDER 11246 EMPLOYMENT ACTIVITY DATA .621O01 SPECIFIC RACE AND ETHNIC GROUP ANALYSIS .631O02 PROPER USE OF PRELIMINARY STATISTICAL RESULTS .631O03 STATISTICAL ANALYSIS SUMMARY .631PCOMPENSATION ANALYSIS .651P00 GENERAL PRINCIPLES OF COMPENSATION DATA ANALYSIS .661P01 ITEMIZED LISTING DATA ON COMPENSATION .671P02 DESCRIPTIVE ANALYSIS OF COMPENSATION .67Table of Contents iii

Federal Contract Compliance Manual (FCCM)1P03 SYSTEMIC STATISTICAL ANALYSIS OF COMPENSATION AT DESKAUDIT .681P04 CONCLUDING DESK AUDIT COMPENSATION ANALYSIS .691QSCER SUMMARY OF POTENTIAL DISCRIMINATION AREAS ANDONSITE INVESTIGATIVE PLAN (ALL LAWS) .691RCONCLUSION OF THE DESK AUDIT .701R00 DOCUMENTS FOR CLOSING COMPLIANCE EVALUATION AFTERTHE DESK AUDIT .701R01 REASONS TO PROCEED WITH ON-SITE REVIEW .711R02 COMPLETING APPROPRIATE SCER PAGES .71CHAPTER 2 ON-SITE REVIEW .722AINTRODUCTION .722BDETERMINING THE NEED FOR AN ON-SITE REVIEW .732CON-SITE REVIEW PREPARATION .742C00 PROHIBITION AGAINST RETALIATION .742C01 USE OF THE STANDARD COMPLIANCE EVALUATION REPORT ANDINFORMATION MANAGEMENT .752C02 HISTORICAL DATA AND COMPLAINT HISTORY .762C03 ON-SITE PLAN.772C04 NOTICE OF THE ON-SITE DATE AND REQUESTS FOR ADDITIONALINFORMATION.772DON-SITE PROCESS.782D00 ENTRANCE CONFERENCE .782D01 FACILITY INSPECTION .792D02 COLLECTING INFORMATION: ACCESS TO CONTRACTOR RECORDS .802D03 MANAGEMENT AND NONMANAGEMENT INTERVIEWS .812D04 EXIT CONFERENCE .822D05 RETURN ON-SITE REVIEW AND DENIAL OF ACCESS .822ECOLLECTING INFORMATION FOR ANALYSIS .822E00 TYPES OF EVIDENCE .832E01 PERSONNEL ACTIVITY AND SELECTION PROCESS .842E02 SELECTION PROCEDURES AND TESTING .852E03 COMPENSATION .862FINTERVIEWS .892F00 GENERAL INTERVIEW PRINCIPLES AND PROCEDURES .892F01 MANAGEMENT INTERVIEWS .932F02 EMPLOYEE INTERVIEWS .932F03 ISSUES THAT ARISE DURING THE ON-SITE REVIEW.942GEXECUTIVE ORDER 11246 AAP REQUIREMENTS .94Table of Contents iv

Federal Contract Compliance Manual (FCCM)2G00 EXECUTIVE ORDER 11246 AAP AND ITEMIZED LISTING DATAPROBLEMS .942G01 DESIGNATION OF RESPONSIBILITY FOR THE AAP .952G02 IDENTIFICATION OF PROBLEM AREAS: WHERE IMPEDIMENTS TOEQUAL EMPLOYMENT OPPORTUNITY EXIST .952G03 ACTION-ORIENTED PROGRAMS TO CORRECT PROBLEM AREAS .962G04 EVALUATION OF GOOD FAITH EFFORTS .962G05 INTERNAL AUDIT AND REPORTING SYSTEM TO MEASUREEFFECTIVENESS OF TOTAL AFFIRMATIVE ACTION PROGRAM .992HSECTION 503 AAP AND ADDITIONAL REQUIREMENTS .992H00 SECTION 503 AAP AND ITEMIZED LISTING DATA SUBMISSIONS .1002H01 AVAILABILITY OF AAP FOR INSPECTION .1042H02 INVITATION TO SELF-IDENTIFY AS AN INDIVIDUAL WITH ADISABILITY .1042H03 DISABILITY-RELATED INQUIRIES, MEDICAL EXAMS, ANDCONFIDENTIALITY OF DISABILITY INFORMATION .1062IVEVRAA AAP AND ADDITIONAL REQUIREMENTS .1072I00 VEVRAA AAP AND ITEMIZED LISTING DATA SUBMISSIONS .1082I01 AVAILABILITY OF AAP FOR INSPECTION .1122I02 INVITATION TO SELF-IDENTIFY AS A PROTECTED VETERAN .1122JRELIGION AND NATIONAL ORIGIN REQUIREMENTS .1142J00 CONTRACTOR POLICY AND IMPLEMENTATION.1142J01 RELIGIOUS ACCOMMODATION .1142J02 POTENTIAL HARASSMENT AND DISCRIMINATION .1152J03 COMMUNITY CONTACTS .1162KCOMPLIANCE WITH SEX DISCRIMINATION REGULATIONS .1162K00 DISCRIMINATION ON THE BASIS OF PREGNANCY .1172K01 REVIEW OF CONTRACTOR POLICIES ANDIMPLEMENTATION .1172K02 LEAVE AND FRINGE BENEFITS .1192K03 SEXUAL HARASSMENT .1212LEQUAL OPPORTUNITY CLAUSES AND OTHER REQUIREMENTS.1212L00 EQUAL OPPORTUNITY CLAUSES AND OTHER REQUIREMENTS OFEXECUTIVE ORDER 11246, VEVRAA AND SECTION 503 .1222L01 EXECUTIVE ORDER 13496 REQUIREMENTS .1252L02 RECORDKEEPING .1262MEMPLOYMENT ACTIVITY DATA REQUIREMENTS .1262M00 ANALYZING THE SELECTION PROCESS .1272M01 DISTINGUISHING OBJECTIVE FROM SUBJECTIVE SELECTIONCRITERIA .1282M02 ANALYSIS OF OBJECTIVE CRITERIA .1292M03 ANALYSIS OF OBJECTIVE CRITERIA FOR ADVERSE IMPACT.130Table of Contents v

Federal Contract Compliance Manual (FCCM)2M04 ANALYSIS OF SUBJECTIVE CRITERIA AND DETERMINATION OFADVERSE IMPACT .1302M05 JUSTIFICATION OF SELECTION PROCEDURES WHEN ADVERSEIMPACT IS IDENTIFIED .1312NLINKAGE AGREEMENTS .1322N00 LINKAGE OBJECTIVES .1322N01 LINKAGE REQUIREMENTS .1322N02 IMPLEMENTATION UNDER EXECUTIVE ORDER 11246 .1322N03 WHERE LINKAGE AGREEMENTS ARE NOT REQUIRED(EXECUTIVE ORDER 11246 Only) .1332N04 LINKAGE AGREEEMENTS FOR INDIVIDUALS WITH DISABILITIESAND PROTECTED VETERANS .1332N05 CONFIRMATION OF LINKAGE AGREEMENT .1342OON-SITE REVIEW SUMMARY OR REPORT WRITING.1342O00 SUMMARY OF FINDINGS .134CHAPTER 3 CONSTRUCTION INDUSTRY COMPLIANCE PROGRAM.1363AINTRODUCTION .1363BCOVERAGE AND CONTRACT CLAUSES .1363B00 REGULATIONS APPLICABLE TO CONSTRUCTION CONTRACTORS .1373B01 REQUIRED BID SOLICITATION NOTICE AND CONTRACTSPECIFICATIONS FOR CONSTRUCTION CONTRACTS .1373B02 REQUIRED EQUAL OPPORTUNITY CONTRACT CLAUSES FORCONSTRUCTION CONTRACTS .1383B03 SUPPORT FROM OTHER AGENCIES RELATED TO CONSTRUCTIONCONTRACTORS .1393B04 MEGA CONSTRUCTION PROJECTS .1403CGENERAL PRINCIPLES APPLICABLE TO THE CONSTRUCTIONINDUSTRY .1413C00 EXECUTIVE ORDER GOALS .1413C01 PRECONSTRUCTION CONFERENCES .1423C02 NOTICE OF SUBCONTRACT AWARDS .1423DTHE COMPLIANCE REVIEW PROCESS .1433EPRE-REVIEW PREPARATION: SCHEDULING AND COORDINATIONWITH OTHER AGENCIES .1443E00 INITIAL CONTACT WITH THE CONTRACTOR AND SCHEDULING .1443E01 PREPARATION AND MAINTENANCE OF THE CASECHRONOLOGY LOG .1443E02 CREATION AND MAINTENANCE OF THE CASE FILE .1453E03 CONTACTING EEOC, VETS AND OTHER AGENCIES .1463E04 INFORMATION ON EEO COMPLAINTS FILED WITH OR BY OTHERAGENCIES .147Table of Contents vi

Federal Contract Compliance Manual (FCCM)3E05 REVIEW OF COMMUNITY RESOURCE FILES .1483E06 REVIEW OF OFCCP COMPLIANCE ACTIONS .1483E07 INTERAGENCY COORDINATION FHWA .1483FON-SITE REVIEW PROCESS OVERVIEW .1493GENTRANCE CONFERENCE .1493HEXECUTIVE ORDER 11246 REVIEW OF RECORDS .1503H00 PAYROLL RECORDS.1503H01 EMPLOYMENT ACTIVITY RECORDS .1513H02 COLLECTIVE BARGAINING AGREEMENT .1513H03 INCLUSION OF THE EQUAL OPPORTUNITY CLAUSE INSUBCONTRACTS .1513H04 REVIEW OF PERSONNEL POLICIES FOR SEX DISCRIMINATION.1523IEVALUATION OF IMPLEMENTATION OF AFFIRMATIVE ACTION STEPSSET FORTH IN 41 CFR 60-4.3(a) PARAGRAPH 7.1533I00 EVALUATION OF RECRUITMENT PRACTICES .1543I01 EVALUATION OF TRAINING .1563I02 EVALUATION OF EEO POLICY IMPLEMENTATION .1573I03 EVALUATION OF PERSONNEL OPERATIONS .1603I04 EVALUATION OF CONTRACTING ACTIVITY .1623JINTERVIEWS .1633KPHYSICAL INSPECTION OF CONTRACTOR WORKSITES.1633K00 INVESTIGATION OF COMPLIANCE.1643K01 COMPLIANCE WITH EXECUTIVE ORDER 13496 .1643LCOMPLIANCE WITH SEX DISCRIMINATION REGULATIONS .1653MCOMPLIANCE WITH RELIGION AND NATIONAL ORIGIN GUIDELINES .1653NCOMPLIANCE WITH VEVRAA AND SECTION 503 .1653OIDENTIFICATION AND RESOLUTION OF EMPLOYMENTDISCRIMINATION .1673PEXIT CONFERENCE .1673QSTANDARD CONSTRUCTION COMPLIANCE EVALUATION REPORT .1673Q00 PURPOSE AND CONTENT OF THE SCER .1673Q01 SUMMARY OF FINDINGS .1693RNOTIFICATION OF COMPLIANCE REVIEW RESULTS AND RESOLUTIONOF VIOLATIONS .1703SEXAMPLES OF COMMON VIOLATIONS .170Table of Contents vii