Office of Federal Contract Compliance Programs (OFCCP)
Federal Contract Compliance Manual (FCCM)
Chapter 4 Construction
TABLE OF CONTENTS
FIGURES
FIGURE 4-1 LETTER TO EEOC AND OTHER AGENCIES
FIGURE 4-2 LETTER OF REVIEW COMPLETION FORMAT, NO DEFICIENCIES FOUND (CONSTRUCTION)
APPENDICES
APPENDIX 4A STANDARD CONSTRUCTION COMPLIANCE REVIEW REPORT (CC-40)
APPENDIX 4B HOMETOWN PLAN/HEAVY HIGHWAY PLAN PROCEDURES [RESERVED]
APPENDIX 4C CASE FILE FORMAT FOR CONSTRUCTION COMPLIANCE REVIEWS
Revised 5-25-90
CHAPTER 4. CONSTRUCTION INDUSTRY COMPLIANCE PROGRAM
This Chapter contains procedures for conducting compliance reviews of construction contractors and subcontractors, including those involved in federally assisted construction to determine whether they are complying with requirements prohibiting discrimination and requiring affirmative action to ensure equal employment opportunity without regard to race, color, religion, nation-al origin, sex, disability or covered veteran status.
Construction contractors are covered under Executive Order 11246, as amended, the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended (38 U.S.C. 4212) and Section 503 of the Re-habilitation Act of 1973, as amended, if they have a construction contract of the requisite amount with a Federal agency a nonconstruction contractor, or another construction contractor, if that contract is necessary in whole or in part to the performance of the nonexempt contract or if any portion of the contractor's obligation under any one or more contracts is performed, undertaken, or assumed. A contractor is covered under the Executive Order if the contract amount exceeds $10,000; under Section 503 if the amount is more than $2,500; and under 38 U.S.C. 4212 if the amount is $10,000 or more. Federally assisted construction contracts and subcontracts in excess of $10,000 are covered under the Executive Order only (see Section 301 of Executive Order 11246, as amended) and not under Section 503 or 38 U.S.C. 4212.
4B01 REGULATIONS APPLICABLE TO CONSTRUCTION CONTRACTORS
Regulations applicable to construction contractors and federally assisted construction contractors are published primarily in 41 CFR Part 60-4. Specific regulatory provisions in other parts of 41 CFR Chapter 60 are also applicable to construction contractors. See, e.g., 41 CFR 60-4.7 and Parts 60-250 and 60-741. Applicable definitions are found in 41 CFR 60-1.3. Finally, the veterans and disability program regulations at 41 CFR Part 60-250 and 41 CFR Part 60-741 also are applicable to Federal construction contractors.
4B02 REQUIRED CONTRACT CLAUSES
4B03 CONSTRUCTION CONTRACT NOTICE AND SPECIFICATIONS
4B04 SPECIAL PROGRAMS APPLICABLE TO CONSTRUCTION CONTRACTORS
In conducting reviews, the EOS must identify the contract(s) on which the contractor's obligations are based. As a general rule, contracts awarded since May 8, 1978, are subject to the contract specifications at 41 CFR 60-4.3(a). However, compliance evaluations may be governed by the terms of a particular Hometown or Heavy Highway Plan. In such instances, the EOS must identify the type of plan and its specific provisions to be able to determine whether the contractor is in compliance with its obligations. See 41 CFR 60-4.5 and Section 4E02 below.
4B05 SUPPORT FROM OTHER AGENCIES
Various Federal, state and local government contracting offices may be able to provide notice of contract awards and help ensure that EO/AA clauses are included in construction contracts. Federal agencies may also have information not available from the contractor. For example, if a contractor has not filed CC-257s, Wage and Hour may be able to provide the number of employees of the contractor by reviewing payroll records certified under the Davis-Bacon Act. Linkage with Job Partnership Training Act organizations, Employment and Training Administration funded agencies, as well as employment referral and/or training organizations identified by the Bureau of Apprenticeship and Training and the Women's Bureau may also be appropriate. See Chapter 3 for a discussion of linkage.
4C GENERAL PRINCIPLES APPLICABLE TO THE CONSTRUCTION INDUSTRY
4C00 GENERAL DUTY NOT TO DISCRIMINATE AND TO TAKE AFFIRMATIVE ACTION
The EO/AA clauses at 41 CFR 60-1.4(a) and (b), 41 CFR 60-250.4, and 41 CFR 60-741.4 prohibit discrimination based on race, color, religion, sex, national origin, disability or covered veteran status. They also require contractors to take affirmative action.
Contractors must demonstrate good faith efforts to meet their affirmative action goals for the employment of minorities and women in the construction industry. Goals are determined by the Director, OFCCP, and are issued pursuant to 41 CFR 60-4.6 by geographic area. They are expressed as a percentage of the hours worked by the contractor's aggregate workforce in each trade on all construction work performed in the geographic area, regardless whether the work is Federal, federally assisted or non-federal. Where a contractor performs construction work in a geographic area located outside the geographic area in which it has a covered contract, it shall apply the goals established for the geographic area where the work is actually performed. Goals in the second area also are applicable to both federally involved and nonfederally involved construction work. See the example in (b) below.
4C02 MONTHLY EMPLOYMENT UTILIZATION REPORT (CC-257)
The CC-257 (Figure 4-3) is used for minority and female goal reporting purposes. Contractors are required to record the total hours worked by all construction employees and the number of hours worked by minority and female employees by construction trade, on construction projects in a specific geographic area. Computer generated CC-257 reports are acceptable if approved by the OFCCP National Office in advance of submission. The CC-257 is required only for construction work performed in geographic areas where a contractor holds a Federal or federally assisted construction contract and where minority goals had been established prior to October 3, 1980 (i.e., the areas set forth in the Federal Register of May 5, 1978, 43 FR 19473, 19474, as Appendix B). Construction contractors and subcontractors in these areas submit their CC-257s directly to the OFCCP Area Office with jurisdiction over the location where payroll records are kept. See the Notice in the Federal Register dated October 3, 1980, 45 FR 65976, 65984.
4C03 PRECONSTRUCTION CONFERENCES
The contracting agency (and/or administering agency) may use pre-construction conferences to discuss any aspect of the contractual requirements of a project, including EEO. Regional, area, or field office staff may participate in these conferences at the invitation of the contracting agency. The contracting agency is responsible for informing contractors and subcontractors of their nondiscrimination and affirmative action obligations, including minority and female goal requirements for the geographical area in which work is to be performed, and reporting and recordkeeping requirements necessary to demonstrate compliance.
4C04 NOTICE OF SUBCONTRACT AWARDS
The notice at 41 CFR 60-4.2(d) requires that, within 10 working days of the award of a subcontract, a contractor must notify the appropriate OFCCP area/field office of the name, address, telephone number, and employer identification number of each subcontractor, the estimated dollar amount of the subcontract, its estimated starting and completion dates, and the geographic area (SMSA or EA) in which the work is to be performed.
Revised February 12, 1992
4D OVERVIEW OF COMPLIANCE REVIEW PROCESS
Major steps in the compliance review process include:
The major focus of the review of a construction contractor is the contractor's trade workforce within a particular geographical area. However, the contractor's entire workforce may be the subject of the review under the Executive Order, Section 503, and 38 U.S.C. 4212 unless coverage is based solely on a federally assisted construction contract. As noted at Section 4B00, federally assisted construction contracts are subject only to the Executive Order. In auditing the contractor's compliance with these clauses in non-trade as well as trade occupations, the EOS will focus on any indications of potential discrimination and lack of affirmative action. See Chapters 3 and 7.
Additionally, if the contractor has 50 or more employees and a Federal contract of $50,000 or more, implementation of its Section 503 and 38 U.S.C. 4212 Affirmative Action Program(s) will be included in the compliance review.
The EOS should notify the senior official at the contractor's establishment where the review will take place (by telephone) of the scheduled review, set a date for the review to begin, indicate the need for an onsite work area, and confirm the location and availability of books and records that contain relevant information on the contractor's aggregate workforce in the covered area.
4E01 SCHEDULING LETTER FOR CONSTRUCTION
The date and time of the review must be confirmed by letter, sent certified mail, return receipt requested, to the senior official at the contractor's establishment with a copy to the chief executive officer at the corporate address (unless the establishment and corporate office are the same) sufficiently in advance of the date of the review. The letter should note that the onsite review will include an inspection of Employment Eligibility Verification Forms (Form I-9). In addition, the notification should specify that the contractor is to make, for example, the following available for inspection and copying during the review:
4E02 COORDINATION WITH OTHER AGENCIES
The EOS should contact the appropriate district office of the EEOC and state and local fair employment agencies to notify them of the scheduled review and request any information they might have regarding complaints against the contractor. Where the administering agency is the Federal Highway Administration, Department of Transportation (FHWA/DOT), a DOL/DOT Memorandum of Understanding requires that DOT be notified of the scheduled review. Refer to Figure 4-1.
The EOS should review appropriate office files for previous Conciliation Agreements or Letters of Commitment negotiated with the contractor. These may provide useful information about potential or recurrent problem areas. The EOS should also determine whether CC-257s have been filed by the contractor if required, and whether the contractor has provided notification to OFCCP of the award of covered subcontracts.
The purpose of the onsite review is to verify reported work hours, to determine the degree of uniformity of employment of minorities and women throughout the length of the contract and at each of the contractor's projects, to evaluate the contractor's affirmative action efforts to comply with the Executive Order, Section 503 and 38 U.S.C. 4212, if applicable, and to investigate any indications of discrimination.
Basic steps in the onsite review process include:
The entrance conference should be attended by the contractor's CEO or his/her designee.
During this conference, the EOS may, as appropriate:
During the process of reviewing records, the EOS should note any matters which appear questionable. The EOS should follow-up on these matters by interviewing employees and any other relevant persons.
In reviewing the contractor's payroll records, the EOS should determine:
During the onsite review, the EOS will inspect the Employment Eligibility Verification Forms (Form I-9) for all employees hired since November 6, 1986 (or since the last inspection), as required by the Immigration Reform and Control Act of 1986 (IRCA). See Chapter 3 for guidance on inspecting I-9s.
4H02 EMPLOYMENT ACTIVITY RECORDS
The EOS should determine how the contractor processes applications, union referrals and walk-in applicants. See Section 4I01, below. She/he should determine if minorities and women who are qualified are being disproportionately rejected. The EOS should determine the contractor's reasons for the rejections. Where selection procedures are found to have an adverse impact, see Chapter 3 and Chapter 7.
4H03 COLLECTIVE BARGAINING AGREEMENT (CBA)
When the contractor asserts that hiring is controlled through a union hiring hall in accordance with a CBA, the EOS must review the agreement to verify the assertion. If the CBA does not support the contractor's claim, the EOS must evaluate the contractor's good faith efforts without considering its relationship with the union hiring hall. See paragraph 5. of the Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246) set forth at 41 CFR 60-4.3.
4I AUDIT OF AFFIRMATIVE ACTION STEPS SET FORTH IN 41 CFR 60-4.3(a)
In evaluating the contractor's compliance with the affirmative action steps, the EOS must verify that the records, interviews and/or other information provided by the contractor demonstrate its compliance.
4I00 GROUPING OF SPECIFICATIONS
For compliance review purposes, the affirmative action specifications in 41 CFR 60-4.3(a)7 have been grouped into the following five major categories:
These categories correspond directly to the organization of the Form CC-40 Standard Compliance Review Report (Construction SCRR). See Appendix 4A. The discussion below provides instructions on completing the Construction SCRR. Section III of the Construction SCRR includes veteran/disability affirmative action requirements which are to be evaluated by the EOS.
4I01 AUDIT OF RECRUITMENT PRACTICES (CONSTRUCTION SCRR III.A)
Refer to 41 CFR Part 60-20 (Sex Discrimination Guidelines); 41 CFR Part 60-50 (Religion/National Origin Guidelines); and 41 CFR 60-4.3(a)7.b, c, d, i and j. The following subsections pertain directly to Part III.A of the Construction SCRR and set forth the procedures for evaluating the contractor's recruitment practices.
Determine whether the contractor took any other actions to facilitate hiring the individual such as additional written contact with the union specifically requesting referral of that individual, or attempting to hire the individual directly, without union referral. Whenever the contractor states in writing that the union has not referred minorities and women; or that other union actions have impeded its affirmative action efforts; or there are allegations that the union has committed unlawful discrimination; or, the EOS becomes aware that union actions impede or threaten to impede the contractor's affirmative action efforts, the EOS should discuss the matter with his/her supervisor as soon as possible.
4I02 AUDIT OF TRAINING (CONSTRUCTION SCRR III.B.)
Refer to 41 CFR Part 60-20; 41 CFR 60-4.3(a)7.e; and Part III.B of the Construction SCRR.
4I03 AUDIT OF EEO POLICY IMPLEMENTATION (CONSTRUCTION SCRR III.C.)
Refer to 41 CFR Part 60-20; 41 CFR Part 60-50; 41 CFR 60-4.3(a)7.f, g, h, l, and p and Part C of the Construction SCRR.
4I04AUDIT OF PERSONNEL OPERATIONS (CONSTRUCTION SCRR III.D.)
Refer to 41 CFR Part 60-20; 41 CFR Part 60-50; 41 CFR 60-4.3(a)7.a, k, m and n; and Part III.D of the Construction SCRR.
Procedures for identifying adverse impact resulting from employee selection procedures are given in Chapter 2 and Chapter 3.
4I05 AUDIT OF CONTRACTING ACTIVITY (CONSTRUCTION SCRR III.E.)
Refer to 41 CFR 60-4.3(a)7.o; and Part III.E of the Construction SCRR.
Conduct of Interviews: See Chapter 3 for guidance on conducting interviews.
During worksite inspections of the contractor's Federal and nonfederal projects, the EOS should interview:
4K COMPLIANCE WITH 41 CFR PART 60-20
All construction contractors, whether involved in Federal or federally assisted construction work, must be able to demonstrate compliance with 41 CFR Part 60-20, the Sex Discrimination Guidelines. Refer to Chapter 3 for procedures to be followed in reviewing for compliance with these requirements. Describe the contractor's compliance with these guidelines in Section III.F. of the Construction SCRR.
4L COMPLIANCE WITH 41 CFR PART 60-50
All construction contractors, whether involved in Federal or federally assisted construction work, must be able to demonstrate compliance with 41 CFR Part 60-50, Guidelines on Religion and National Origin. Refer to Chapter 3 for procedures to be followed in reviewing for compliance with these requirements. Describe the contractor's compliance with these guidelines in Section III.G. of the Construction SCRR.
4M COMPLIANCE WITH 41 CFR PART 60-250 AND 41 CFR PART 60-741
Construction contractors with Federal contracts or subcontracts of $10,000 or more are required to comply with the requirements of the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended (38 U.S.C. 4212), and its implementing regulations at 41 CFR Part 60-250. Similarly, construction contractors with Federal contracts or subcontracts in excess of $10,000 are required to comply with the requirements of Section 503 of the Rehabilitation Act of 1973, as amended, and its implementing regulations at 41 CFR Part 60-741. Refer to Chapters 2 and 3, for procedures to be followed in assessing contractor compliance with these requirements. Describe in detail the Federal contractor/subcontractor's compliance with these Acts and implementing regulations in Section III.H. of the Construction SCRR.
4N PHYSICAL INSPECTION OF CONTRACTOR WORKSITES
The purpose of conducting an inspection of worksites is to obtain additional information regarding the contractor's compliance with the requirements including, requirements that must be implemented at such sites (e.g., posting of policy, EEO poster, etc.). In addition, the type of work performed, the conditions under which it is performed, and the makeup of the workforce performing that work, can be documented through the onsite inspection.
4N01 SELECTION OF WORKSITES FOR INSPECTION
At least one construction worksite should be inspected as part of the compliance review. Whenever possible, nonfederally involved worksites should also be inspected.
4N02 INVESTIGATION OF COMPLIANCE
4O IDENTIFICATION AND RESOLUTION OF EMPLOYMENT DISCRIMINATION
Questions of potential individual or systemic discrimination may be identified during the compliance review. Chapter 3, Section 3J, contains a detailed description of the procedures to be used for gathering and analyzing facts to determine whether employment discrimination exists. These procedures are directed primarily at supply and service reviews, but may be adapted for use in construction compliance reviews. The theoretical bases for proving discrimination, described in Chapter 7, are equally applicable to employment discrimination identified in construction compliance reviews. Remedies for employment discrimination are also found at Chapter 7.
4P VOLUNTARY TRADE ASSOCIATIONS
Other factors may need to be considered in determining a contractor's compliance status, such as participation in and use of the affirmative action efforts of a voluntary trade association, Hometown Plan, Heavy Highway Plans, etc. The efforts of a contractor association, joint contractor-union, contractor-community or other similar group of which the contractor is a member and participant may be asserted as fulfilling any one or more of its obligations providing that the contractor (1) actively participates in the groups; (2) makes every effort to ensure that the concrete benefits of the program are reflected in its workforce participation; and (3) can provide documentation which demonstrates the effectiveness of specific action taken on its behalf. The obligation to comply is the contractor's and failure of such a group to fulfill an obligation shall not be a defense for the contractor's noncompliance. See 41 CFR 60-4.5 on Hometown Plans.
4Q STANDARD CONSTRUCTION COMPLIANCE REVIEW REPORT (CONSTRUCTION SCRR, CC-40) (APPENDIX 4A)
The EOS shall use the CC-40 to report the results of compliance reviews of construction contractors. It is designed to provide objective measures of a contractor's efforts to implement the required affirmative action obligations specified in the regulations.
In investigating discrimination, the EOS should use appropriate pages/worksheets from the Standard Compliance Review Report (Construction SCRR, CC-50), as appropriate.
See Part V of the Construction SCRR. The narrative summary should be organized as follows:.
Provide detailed narrative information on problem areas identified during the course of the review concerning the contractor's:
The EOS should conduct an exit conference, attended by the construction firm's CEO and/or his/her designee at the conclusion of the onsite review. During this conference, the EOS should:
4S NOTIFICATION OF COMPLIANCE REVIEW RESULTS
When no violations are found, the EOS will prepare a letter of no apparent violations, to be issued and signed by the AOD/FOD (See Figure 4-2.).
The nature of the violations will determine whether they may be voluntarily resolved through a Letter of Commitment or through a Conciliation Agreement. See Sections 4T and 4U, below, for a discussion of these resolution documents.
4T USE OF CONCILIATION AGREEMENTS
4T00 TYPES OF VIOLATIONS RESOLVED
Unless Section 4U01 is applicable, violations such as those listed below should be resolved in a Conciliation Agreement:
4U USE OF LETTER OF COMMITMENT
4U00 TYPES OF VIOLATIONS RESOLVED
A Letter of Commitment may be used to correct violations such as those listed below:
If a contractor demonstrates substantial compliance with a good faith step or steps listed under Section 4T, above, and the contractor was not found in violation of any other step under that section, a Letter of Commitment may be used to resolve the violation. determining whether substantial compliance has occurred, the EOS must take into consideration the size of the contractor, the resources available to it, and the effectiveness of its compliance with the other specifications in meeting its goals.
4U02 NON-COMPLIANCE WITH REQUIREMENTS UNDER SECTION 503/38 U.S.C. 4212
Notwithstanding the provisions of Section 4U01, above, where a contractor covered by the provisions of Section 503 of the Rehabilitation Act of 1973, as amended, and/or the provisions of the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212, is found to be in violation of its implementing regulations, to the extent that such violation(s) must be remedied in a Conciliation Agreement (see Chapter 8), the contractor shall be required to incorporate all identified violations in the Agreement, including those involving the non-major violations of 41 CFR Part 60-4. (See 4U00 above)
Figure 4-2 provides a format for a Notice of Review Completion
where no violations were found. Where a violation(s) was found, sample Notices of Review Completion are provided in Chapter 8. Figure 8-15 is used where minor deficiencies were resolved in a Letter of Commitment. Figure 8-13 or 8-14 is used where major deficiencies were voluntarily resolved in a Conciliation Agreement. If a Show Cause Notice was issued, use Figure 8-13, which includes recision of the Show Cause Notice. If no Show Cause Notice was issued, use Figure 8-14.
If violations cannot be resolved in a Letter of Commitment or Conciliation Agreement, the case will be recommended for enforcement. Refer to 41 CFR 60-4.8 and Chapter 8.
Revised 5-25-90
FIGURE 4-1: LETTER TO EEOC AND OTHER AGENCIES
Name of Agency Office
Street Address
Post Office Box Number, if Applicable
City, State, Zip Code
Dear (Representative of Agency):
A compliance review of (Name and Address of Construction Firm) has been scheduled.
Please forward any information you have concerning complaints filed against this contractor and/or other information about its EEO posture in the community which you believe should be considered during the course of the review.
A prompt response will be appreciated.
Sincerely,
AOD/FOD
FIGURE 4-2: LETTER OF REVIEW COMPLETION FORMAT, NO DEFICIENCIES FOUND (CONSTRUCTION)
Mr. John Scott
President and Chief Executive Officer
B & V Construction Company
450 Newton Avenue
Somewhere, Pennsylvania 16543
Dear Mr. Scott:
Our compliance review of your construction firm's equal employment opportunity policies and practices has been completed. It covered your firm's compliance with Executive Order 11246, as amended, ([include if applicable:] the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212, and Section 503 of the Rehabilitation Act of 1973, as amended) and its (their) implementing regulations at 41 CFR Chapter 60, in the covered area consisting of name of SMSA or names of counties in the EA.
This is to advise you that we found no apparent violations of those requirements in the covered area indicated above. This determination may be modified by the Assistant Regional Administrator, or by the Director, OFCCP, within 45 days of issuance of this letter.
This determination does not preclude a future determination of noncompliance based on a finding that your firm has failed to comply with its affirmative action obligations.
(Optional Paragraph)
The Office of Federal Contract Compliance Programs sincerely appreciated the cooperation and courtesies extended by you and your staff during the conduct of the compliance review.
Sincerely,
AOD/FOD
U.S. Department of Labor/Employment Standards Administration
Office of Federal Contract Compliance Programs
Appendix 4A: STANDARD COMPLIANCE REVIEW REPORT (CONSTRUCTION)
Contractor's Name:____________________________
Address:____________________________________ SMSA/EA____________
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Telephone: ( )_____________Contact Person____________________
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Corporate/HQ: ( )__________Contact Person____________________
(if applicable)
Date of Last Review: Closing Document:
This Review This Review EOS Number: Period: Date:
I. BACKGROUND INFORMATION
1. Indicate any information regarding the contractor received from EEOC, community organizations, and other local, State and Federal agencies.
Form CC-40
Rev. 1988
SCRR 1
2. List all the contractor's construction projects, regardless of whether they are Federal, federally assisted or non-federally related, which were under way in the covered area during the review period.
Covered Projects (If Federally Involved)
Amount Date of ______________________________Funding Agency___(Approximate)____Award___
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SCRR 2
3Summarize the contractor's workforce as reported on Contract Compliance Form-257 (CC-257) for the review period. If goals changed during the review period, complete Section 3a. If CC-257 is not required, summarize actual hours as obtained from payroll records.
COVERED YEAR WORK HOURS HOURS AS A MET ALL GOALS
CRAFTS GOALS TOTAL MINORITY FEMALE % OF TOTAL YES NO
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1 - Total Minority 4 - Amer. Ind. & Alaskan Native M-Minority
2 - Black (Not Hispanic Origin) 5 - Asian or Pacific Islander F-Female
3 - Hispanic
SCRR 3
3a. Use for utilization summary when goals changed during the review period.
COVERED YEAR WORK HOURS HOURS AS A MET ALL GOALS
CRAFTS GOALS TOTAL MINORITY FEMALE % OF TOTAL YES NO
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1 - Total Minority 4 - Amer. Ind. & Alaskan Native M-Minority
2 - Black (Not Hispanic Origin) 5 - Asian or Pacific Islander F-Female
3 - Hispanic
SCRR 4
II. REVIEW OF RECORDS
A. Utilization verification
Select six months, or at least one-fourth of the months summarized in Section I. 3.(3a.) above, whichever is greater, and complete the following work-hour verification from the contractor's payrolls.
1. Month __________________ Year ___________________
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REPORTED HOURS OF UTILIZATION ACTUAL HOURS OF FROM CC-257 (IF REQUIRED) UTILIZATION FROM PAYROLLS
CRAFT GOAL TOTAL MINORITY FEMALE TOTAL MINORITY FEMALE
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SCRR 5
2.Month __________________ Year ___________________
REPORTED HOURS OF UTILIZATION ACTUAL HOURS OF FROM CC-257 (IF REQUIRED) UTILIZATION FROM PAYROLLS
CRAFT GOAL TOTAL MINORITY FEMALE TOTAL MINORITY FEMALE
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SCRR 6
3. Month __________________ Year ___________________
REPORTED HOURS OF UTILIZATION ACTUAL HOURS OF FROM CC-257 (IF REQUIRED) UTILIZATION FROM PAYROLLS
CRAFT GOAL TOTAL MINORITY FEMALE TOTAL MINORITY FEMALE
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SCRR 7
4. Month __________________ Year ___________________
REPORTED HOURS OF UTILIZATION ACTUAL HOURS OF FROM CC-257 (IF REQUIRED) UTILIZATION FROM PAYROLLS
CRAFT GOAL TOTAL MINORITY FEMALE TOTAL MINORITY FEMALE
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SCRR 8
5. Month __________________ Year ___________________
REPORTED HOURS OF UTILIZATION ACTUAL HOURS OF FROM CC-257 (IF REQUIRED) UTILIZATION FROM PAYROLLS
CRAFT GOAL TOTAL MINORITY FEMALE TOTAL MINORITY FEMALE
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SCRR 9
6. Month __________________ Year ___________________
REPORTED HOURS OF UTILIZATION ACTUAL HOURS OF FROM CC-257 (IF REQUIRED) UTILIZATION FROM PAYROLLS
CRAFT GOAL TOTAL MINORITY FEMALE TOTAL MINORITY FEMALE
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SCRR 10
_____________________ _____________________________________
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Trade Total Hours Minority Hours Female Hours
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SCRR 11
Commercial Residential
Minorities __________ ____________
Women __________ ____________
Commercial __________ Residential _________
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SCRR 12
III. AUDIT OF AFFIRMATIVE ACTION SPECIFICATIONS (41 CFR 60-4.3(a)7.a.-p.)
SPECIFICATION Explain what actions, if any, were taken to comply with the specification/obligation. Were the contractor's actions deficient, if yes, explain.
SCRR 14
SPECIFICATION Explain actions taken to comply with the specification. Indicate whether activities are deficient.
SCRR 15
SCRR 16
SCRR 17
SPECIFICATION Explain actions taken to comply with the specifications. Indicate whether or not activities are deficient.
SCRR 18
SCRR 19
SPECIFICATION Explain activities taken to comply with the specification. Indicate whether or not activities are deficient.
Has the contractor complied with 41 CFR PART 60-20, Sex Discrimination Guidelines
SCRR 20
Has the contractor complied with 41 CFR PART 60-50, Religion/National Origin Discrimination Guidelines?
Has the contractor complied with 41 CFR Parts 60-250 and 60-741, affirmative action obligations of contractors and subcontractors for special disabled veterans and veterans of the Vietnam era; and for individuals with disabilities?
SCRR 21
IV. Physical Inspection of Contractor's Work Sites
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
SCRR 22
V. Narrative Summary
(See Instructions in Manual, Section 4Q01)
SCRR 23
VI. Compliance Review Summary Sheet
(Check, if yes )
_______Minority
_______Female
Total ______Pre-Review ______Onsite Review_________
Report Writing _________Travel_________
Conciliation _________
SCRR 24
APPENDIX 4C: CASE FILE FORMAT FOR CONSTRUCTION COMPLIANCE REVIEWS
A case file format consisting of the following files will be used for all construction reviews:
FILE #
GENERAL INSTRUCTIONS
Each file will contain the material indicated below. Where the material in a file is voluminous, appropriately labeled (e.g., file 1A, 1B, etc.) additional filed may be used. As a general rule, whenever there are ten (10) or more separate documents in a file, an index should be prepared and placed in front of that file.
If the file is being submitted for enforcement, it must be prefaced by the Transmittal Memorandum discussed in Manual Appendix 8A, and by a copy of at least one contract of subcontract establishing coverage during the time period at issue. Note that in an enforcement case, it is particularly important that all documents obtained or generated as a result of the review are in the case file (do not, however, include drafts of OFCCP memoranda that have a later final version). Remember also to keep a complete copy of all files submitted for enforcement in the appropriate OFCCP office.
FILE 1 - CONSTRUCTION SCRR AND DATA PERTAINING TO CONSTRUCTION SCRR FINDINGS
This file will contain the Construction SCRR and data pertaining to Construction SCRR findings. Such data include CO notes, work sheets, interviews, contractor records, etc., pertinent to issues investigated. Include all relevant material, bearing either for or against the conclusion reached.
IMPORTANT: These materials will be organized according to the Construction SCRR issue to which they pertain, and will be so tabbed and/or labeled.
Cross-reference other files, as applicable e.g., if a SCRR issue discussed here involves a union contract matter, refer to the contract copy in File 3.
Attached to the left side of this file will be, on top, CRIS Form CC-100a, and underneath it:
FILE 2 - CASE CHRONOLOGY, CORRESPONDENCE AND MEETING NOTES
This file will contain all correspondence and meeting notes associated with the review in chronological order. This includes any such material resulting from contacts with third parties e.g., other government agencies, local interest groups. For ease of reference, the closure document (CA, LOC or, if no violation, the NFC) will be tabbed. Note that a copy of this closure document will be placed in File 6 below.
Attached to the left side of this file will be the Case Chronology Log (CC-53).
FILE 3 - COLLECTIVE BARGAINING, OTHER AGREEMENTS AND MISCELLANEOUS
This file will contain a copy of any collective bargaining agreements, fringe benefit/leave policy booklets, employee handbooks, apprenticeship or training agreements, and any other similar contractor documents.
Any documents that do not fit the description of materials to be included in any other file should be placed here.
FILE 4 - SOL OPINIONS, JRC MEMORANDA AND POST-SCRR UPDATE
This file will contain any Solicitor's (SOL) Opinions and Joint Review Committee (JRC) memoranda associated with this review.
Also include in this file any material -- other than progress reports, which go in File 5 below -- generated after the CO submits the review report (in a non-enforcement case, the SCRR; in an enforcement case, the SCRR and Transmittal Memorandum). This will include, for example, a record of any later conciliation efforts by the DO, RO and/or NO along with their results.
FILE 5 - PROGRESS REPORTS AND QUALITY AUDIT
This file will contain any progress reports submitted under a CA, LOC, consent decree or other court order, along with OFCCP's evaluation of those reports. The results of those evaluations are entered on the "Summary of Progress Reports" form (Attachment 2 to Order No. ADM 89-4/Other, formerly FCCM 89-1/CH 8). Note that when the last report has been entered, a copy of the referenced summary is placed in the Historical file below.
Attached to the left side of this file will be the Quality Audit form (CC-74) and, underneath it, any associated management case review comments.
FILE 6 - HISTORICAL REVIEW RESULTS
This file will contain a copy of any available closure letters and documents (CA or LOC, as applicable) generated by reviews of this contractor's construction workforce in the geographic area, including a copy of the closure letter/document for the current review. If reports are required under the CA/LOC, when the last report is evaluated, a copy of the "Summary of Progress Reports" (see File 5 above) will be added in front of the CA/LOC copy.
IMPORTANT: This Historical file will be retained in the DO/AO indefinitely. If another review of the contractor's construction workforce in the geographic area is scheduled before this case file is retired, the Historical file will be pulled from the old case file and moved to the new one. If another review has not been scheduled by the time this case file should be retired, the Historical file will be pulled and retained in the DO/AO when the rest of the case file is retired.
FILE 7 - MONTHLY EMPLOYMENT UTILIZATION REPORTS (CC-257s) AND PRECONSTRUCTION CONFERENCE MATERIAL
As applicable, attached to the left side of this file, a copy of the contractor's CC-257s examined in connection with this review.
Also include in this file any material, obtained as a result of OFCCP participation in a Preconstruction Conference, that is pertinent to this contractor's construction workforce in the geographic area and time period reviewed.
Applicant Records . . . . . . . . . . . . . . . . 4-12
Construction Contractors, Regulation Applicable to 4-1
Contractor Work Sites, Physical Inspection of . . 4-22
Coordination With Other Agencies . . . . . . . . . 4-7
Conciliation Agreements . . . . . . . . . . . . . 4-26
Coverage . . . . . . . . . . . . . . . . . . . . . 4-1
Davis-Bacon Complaints . . . . . . . . . . . . 4-3, 4-21
Discrimination in Employment,
Identification and Resolution of . . . . . . . 4-23
Employment Discrimination,
Identification and Resolution of . . . . . . . 4-23
Enforcement, Referral for . . . . . . . . . . . . . 4-29
Entrance Conference . . . . . . . . . . . . . . . 4-8
Exit Conference . . . . . . . . . . . . . . . . . 4-25
Failure of Union to Refer . . . . . . . . . . . . 4-12
Geographical Area . . . . . . . . . . . . . . 4-5, 4-6
Goals . . . . . . . . . . . . . . . . . . . . . . 4-4
Disability Guidelines, Non-Compliance with . . . . . 4-29
Harassment . . . . . . . . . . . . . . . . . . . . 4-18
I-9 Inspection . . . . . . . . . . . . . . . . 4-9, 4-10
Interviews . . . . . . . . . . . . . . . . . . . . 4-21
Monthly Employment Utilization Report (CC-257) . . 4-5
4-34
National Origin and Religion, Guidelines on . . . 4-22
Onsite Review Process . . . . . . . . . . . . . . 4-7
Other Agencies, Coordination With . . . . . . 4-7, 4-31
Overtime . . . . . . . . . . . . . . . . . . . . . 4-9
Payroll Records . . . . . . . . . . . . . . . . . 4-9
Physical Inspection of Contractor Work Sites . . . 4-22
Preconstruction Conferences . . . . . . . . . . . 4-5
Pre-Review Preparation . . . . . . . . . . . . . . 4-6
Promotion Policy . . . . . . . . . . . . . . . . 4-17
Records, Review of . . . . . . . . . . . . . . . . 4-9
Recruitment Practices . . . . . . . . . . . . . . 4-11
Referral for Enforcement . . . . . . . . . . . . . 4-29
Religion and National Origin, Guidelines on . . . 4-22
Resolution Documents . . . . . . . . . . . . . . 4-25
Resolution of Violations . . . . . . . . . . . . . 4-26
Review Completion Letter . . . . . 4-29, 4-31, 4-32, 4-33
Scheduling . . . . . . . . . . . . . . . . . . . 4-6
Scheduling Letter for Construction . . . . . . . . 4-6
Sex Discrimination Guidelines . . . . . . . . . . 4-21
Sexual Harassment . . . . . . . . . . . . . . . . 4-18
Standard Construction Compliance Review Report . . 4-24
Substantial Compliance . . . . . . . . . . . . . . 4-28
Trade Associations, Voluntary . . . . . . . . . . 4-23
4-35
Training Programs . . . . . . . . . . . . . . . . 4-14
Union Referrals . . . . . . . . . . . . . . . . . 4-11
Validation . . . . . . . . . . . . . . . . . . . 4-19
Veterans' Guidelines, Non-Compliance with . . . . 4-29
Violations, Types of . . . . . . . . . . . . . . . 4-28
Voluntary Trade Associations . . . . . . . . . . . 4-23
Work Sites, Physical Inspection of . . . . . . . . 4-22
4-36
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