Audit Preparation

Just when you least expect it and can hardly deal with what's already on your plate…

Your company's CEO receives a Scheduling Letter from the Department of Labor, Office of Federal Contract Compliance Programs (OFCCP).

The letter informs your company that it has been selected for a Compliance Evaluation and that you have just 30 days to submit a complete package of information for an OFCCP Compliance Officer's desk audit. The OFCCP's letter is accompanied by an "Itemized Listing," detailing the Affirmative Action Plan's contents (based on the new December 2000 regulations) and support data that OFCCP requires for its audit. (Please see the sidebar for the specific support data.)

Should this happen to your company, we invite you to call either of us immediately. Time is of the essence, and there will be much to do to prepare. We offer a quick response and personal attention. We have established positive relationships with the local offices of the OFCCP, and we keep current with contractor compliance requirements in order to better inform you.

Through all phases of the Compliance Evaluation, we can assist you every step of the way, offering various levels of support.

To prepare for submission of information for the OFCCP's desk audit, we can:

  • develop a customized and compliant Affirmative Action Plan (AAP) for your company, or review your existing AAP for compliance before submission;
  • assist you in preparing support data;
  • analyze personnel actions data for adverse impact (see "Adverse Impact Analyses" page);
  • analyze compensation data for areas of potential pay discrimination (see "Compensation Analyses" page).

To prepare for an on-site evaluation by the OFCCP, we can:

  • provide technical advice on the compliance process;
  • assess areas of vulnerability and assist in correcting them;
  • assist you with the labor-intensive preparation;
  • train executives and management in their responsibilities;
  • brief the CEO and HR executive(s) on what to expect;
  • audit Disabled and Veterans Programs;
  • review recruitment, hiring, and employment policies and procedures;
  • audit applicant tracking, personnel files, and I-9 Forms.

During the on-site evaluation by the OFCCP Compliance Officer, we can:

  • serve as a liaison with the Compliance Officer;
  • "translate" the Compliance Officer's expectations and the applicable regulations;
  • facilitate communication between the Compliance Officer and your company;
  • ease the burden of responding to the Compliance Officer's requests for information;
  • assist in negotiating potential findings and remedies with the Compliance Officer -- before they are put in the Notice of Violations, a public document once the audit is complete.

During OFCCP's off-site analysis and follow-up by the Compliance Officer, we can:

  • continue to serve as a liaison for your company;
  • draft responses to any additional requests or questions from the Compliance Officer;
  • assist in negotiating remedies acceptable to the company with the Compliance Officer;
  • work closely with counsel, HR and OFCCP to develop a Conciliation Agreement, should one be necessary.

The OFCCP is conducting the Compliance Evaluation for two reasons: to determine if your company is complying with affirmative action laws and regulations AND to find if there has been unlawful employment discrimination occurring within your company (or audited establishment).

Our goal is to help you prepare the best possible package for submission for desk audit. If the Affirmative Action Plan and support data you send for desk audit show strong evidence that your company is in compliance, there is now the possibility that the Compliance Evaluation will be closed after the desk audit and before an on-site review. Should the Compliance Evaluation continue and the Compliance Officer comes on-site, our goal will be to facilitate an expedient on-site review. Should your company have to enter into a Conciliation Agreement, our goal will be to help you negotiate terms that don't include a finding of discrimination or monetary settlement, which are always accompanied by a press release.


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