1A00 Types of Compliance Evaluations
OFCCP may conduct a compliance evaluation that consists of one, or any combination of, the following investigative procedures:
- Compliance review;
- Off-site review of records;
- Compliance check; and
- Focused review.
Each of the investigative procedures is discussed in this chapter; the first is compliance review procedures. A compliance review is a comprehensive analysis and evaluation of the employment practices of the contractor, including the contractor’s written affirmative action program (AAP), and the results of the contractor’s affirmative action efforts. A compliance review may proceed in three stages:
- Desk audit;
- On-site review; and
- Off-site analysis.
However, the regulations do not require an on-site review or off-site analysis in all cases. Depending on the circumstances or the results of the desk audit, a compliance review may:
- Close after the desk audit;
- Continue with an on-site review; or
- Continue with an off-site analysis of the information gathered during or pursuant to the on-site review.
An off-site review of records is an analysis and evaluation of all or some portion of the contractor’s AAPs and supporting documentation, and other documents related to the contractor’s personnel policies and employment actions that may be relevant to a determination of whether the contractor complied with the requirements of Executive Order 11246, Section 503 and/or VEVRAA, as appropriate. The Investigator must use the desk audit procedures outlined in this chapter when conducting an off-site review of records.
A compliance check is an examination to determine whether a contractor maintained certain records as required by the regulations at 41 CFR 60-1.12, 41 CFR 60-300.80, and 41 CFR 60-741.80. The contractor has the option of providing the documents either on-site or off-site. Therefore, Investigators must contact the contractor to determine whether the requested records will be provided on-site or off-site. Investigators will also need to contact the contractor during the review if they need specific issues clarified. A compliance check need not include an on-site review. If a contractor provides records off-site, but an Investigator finds that it may be appropriate to conduct a physical, on-site inspection, the Investigator must discuss the matter with their supervisor. Chapter 2 – On-site Review covers on-site procedures.
Finally, a focused review is an on-site review focused on one or more components of the contractor’s organization, or one or more aspects of the contractor’s employment practices. OFCCP may conduct a focused review to determine the contractor’s compliance with a particular legal authority, or may conduct a focused review of a particular employment practice under all of the laws OFCCP enforces.