Data Reconciliation: A How-To Guide for Audit Readiness. Overview of Biddle Consulting Group, Inc.

Transcription

1 Data Recnciliatin: A Hw-T Guide fr Audit Readiness May 10, 2016 Cassie Verdn Phil Akryd Overview f Biddle Cnsulting Grup, Inc. Affirmative Actin Plan (AAP) Cnsulting and Fulfillment HR Assessments Thusands f AAPs develped each year Audit and cmpliance assistance AutAAP Enterprise sftware AutGOJA nline jb analysis system TVAP test validatin & analysis prgram CritiCall pre-emplyment testing fr 911 peratrs OPAC pre-emplyment testing fr admin prfessinals Vide Situatinal Assessments (General and Nursing) Custm Test Develpment & Validatin EEO Litigatin Cnsulting /Expert Witness Services Cmpensatin Analysis Publicatins/Bks BCG Institute fr Wrkfrce Develpment Speaking and Training High stakes test develpment Validatin studies in respnse/preventin t litigatin Over 200+ cases in EEO/AA (bth plaintiff and defense) Fcus n disparate impact/validatin cases Practive and litigatin/enfrcement pay equity studies COMPare cmpensatin analysis sftware EEO Insight : Leading EEO Cmpliance Jurnal Adverse Impact (3 rd ed.) / Cmpensatin (1 st ed.) 6,000+ members Free webinars, EEO resurces/tls Regular speakers n the natinal speaking circuit 2 Biddle Cnsulting Grup Institute fr Wrkfrce Develpment (BCGi) BCGi Memberships (free): ~7500+ members / 15,000 HRCI credits tdate Online cmmunity Mnthly webinars n EEO cmpliance tpics EEO Insight Jurnal (e-cpy) BCGi Platinum Membership (paid) Includes validatin/cmpensatin analysis bks EEO Tls including thse needed t cnduct AI analyses EEO Insight Jurnal (e-cpy and hardcpy) Access t the BCGi library f webinars, training materials, and much mre 3

2 Cntact Infrmatin Biddle Cnsulting Grup, Inc. 193 Blue Ravine, Suite 270 Flsm, CA Cassie Verdn Phil Akryd Cpyright (c) 2013 Biddle Cnsulting Grup, Inc 4 Agenda Intrductin t Audits What s Needed? Recnciliatin Prcess Applicants and Hires: What d I d When? In Cnclusin: Tips, Questins and Answers Intrductin t Audits 6

3 Five W s 1) What is an audit? 2) Why d we get audited? 3) Wh gets audited? 4) When can audits ccur? 5) Where can audits ccur? 7 What is an Audit 1) Cmpliance Evaluatin Directive 295 Cmpliance Review Offsite Review f Recrds Cmpliance Check Fcused Review 2) Cmpliance Review Desk Audit Audit Letter/Itemized Listing Onsite Offsite Analysis 8 Why d we get audited? Pre-Award Audit Cntract in excess f $10 Millin EEO Clearance fr Natinal Pre-Award Registry Typical Audit Cntract(s) less than $10 Millin Determinatin f cmpliance 9

4 Wh gets audited? Cntractr with 50 r mre emplyees and a cntract f $50,000 r mre; and 1) Is selected thrugh the Federal Cntractr Scheduling System (FCSS) Prcurement Databases (FPDS) EEO-1 Reprts D&B data 2) Has active cmplaints filed against them (EEOC, FEPAs, etc.) 3) Is requesting Pre-Award EEO Clearance 10 When d we get audited? FCSS scheduling cycle Fiscally driven (Octber 1 thrugh September 30) Includes tw scheduling list (Crprate Scheduling Annuncement Letter) releases per fiscal year Last CSALs were sent ut in late 2014 Dramatic decrease in audit activity due t increased budgetary demands 11 Where d we get audited? Establishment based 50 r mre emplyees (generally) Multiple establishments at nce Same establishment can nly be audited nce every 24 mnths 12

5 13 What s Needed Scheduling Letter Twenty tw items included n the itemized listing f the scheduling letter Thirteen f thse items are data driven Organizatinal prfile Frmatin f jb grups Jb grup incumbency Availability Analysis Incumbency vs. Availability Placement Gals Sectin 503 Data Cllectin Analysis Sectin 503 Utilizatin Analysis 14 Scheduling Letter (cnt.) VEVRAA Data Cllectin Analysis VEVRAA Hiring Benchmark Prgress twards previus year s gals Emplyment Activity Data (Persnnel Transactins) Emplyee Cmpensatin Scheduling Letter.pdf 15

6 What data d I need? Emplyee File As f the mst recent snapsht date Applicants File Include all applicant pls assciated with a hire that ccurred during the year preceding the snapsht date (a.k.a transactin perid) Hires File Cvering all hires during the year preceding the snapsht date Terminatins File Cvering all terminatins during the year preceding the snapsht date Prmtins File Cvering all prmtins during the year preceding the snapsht date 16 Data Recnciliatin 17 Why Recncile Data? Accurate measurement f true prblem areas Avid unwanted questins by OFCCP Quick clsure Less back and frth Avid ptential red flags Year-t-year cmparisns Adverse impact 18

7 Applicants v. Hires What t Check fr Differing race/gender/jb infrmatin Duplicate recrds assciated t the same requisitin N applicatin dates ccurring after the transactin dates N applicatin dates ccurring after the last date f hire t the psitin filled Dispsitin cdes Des the candidate meet the Internet Definitin f an Applicant? 19 Definitin f an Internet Applicant 1. Individual Submits Expressin f Interest Required Optinal Slicit Race/Ethnicity & Gender Make an effrt t slicit race/ethnicity & gender fr all Applicants 2. Cntractr Cnsiders Individual fr a Particular Psitin 3. Individual Pssesses Basic Qualificatins 3 Cnditins f BQ: Nn- Cmparative Objective Relevant 4. Individual Des NOT Self- Eliminate Befre Offer is Made Individuals wh meet all 4 prngs are applicants and will be included in the Persnnel Transactins and Adverse Impact Analyses 5. Individual is an Applicant Retain Recrds 20 Applicants v. Hires What t Check fr Multiple hires made t the same requisitin but t different jbs/lcatins External and internal applicants are reflected apprpriately within the data External applicant selectins shw in the Hires file Internal applicant selectins shw in the Prmtins file AUDIT - Applicants.xlsx AUDIT - Hires.xlsx 21

8 Hires v. Emplyees What t Check fr Hires made are als fund within the Emplyee file (unless termed during the transactin perid) Differing race/gender/jb infrmatin Hire date ccurs within the transactin perid AUDIT - Emplyees.xlsx 22 What t Check fr Prmtins v. Emplyees Previus jb infrmatin in the Prmtins file reflects jb infrmatin in prir year s Emplyee file Current jb infrmatin in the Prmtins file reflects jb infrmatin in current year s Emplyee file Prmtin date ccurs within the transactin perid Differing race/gender infrmatin AUDIT - Prmtins.xlsx 23 What t Check fr Terminatins v. Prir Emplyees Jb infrmatin in the Terminatins file reflects jb infrmatin in prir year s Emplyee file (unless prmted befre terminatin) Termed emplyees are nt fund within the current year s Emplyee file (unless rehired during transactin perid) Terminatin Cdes (Invluntary and Vluntary) match Terminatin Reasn Differing race/gender infrmatin AUDIT - Terminatins.xlsx 24

9 25 Applicants and Hires: What d I d when? What d I d When? 1) A single requisitin is fr multiple lcatins Duplicate the applicant pl fr each establishment where there is a vacancy, if preferred lcatin is nt a questin asked during the applicatin prcess 2) A single requisitin spans acrss multiple data cllectin perids If a hire was made during the current data cllectin perid, then cnsider all applicants fr the vacancy. Any unselected applicants that are still eligible will be included in the fllwing data cllectin perid as well If n hire was made and they remain eligible int the next year, d nt include them in the applicant file until the hire is made 26 What d I d When? 3) My data is riddled with duplicates Same Requisitin r jb title = Remve Applied t multiple reqs, but was never selected = Keep 4) We pst fr a general psitin (entry level) and we dn t knw what the hired title will be until the hire is made because the psting is fr several different psitins Re-invite qualified candidates t re-apply t the psitin nce it s determined which psitin will be hired fr Duplicate the applicant pl fr each unique psitin hired int if within differing jb grups. If psitin hired int is acrss tw lcatins, duplicate fr each lcatin as well 27

10 What d I d When? 5) An applicant applies t ne psitin and gets hired int anther If n hires ccurred frm the applicant pl fr the riginal psitin psted, then the applicant pl mves with the hire by changing the Applied psitin title t the same as the hired title If a hire ccurred fr the riginal psitin psted AND fr anther psitin, then yu can duplicate the applicant pl fr the hire and change the Applied psitin title t match the hired title (This nly applies if the basic qualificatins are the same as the riginal psitin psted) If the basic qualificatins are different, then yu will nly be able t use the individual that was hired as yur applicant pl unless ther applicants frm the applicant pl were cnsidered based n yur review 28 In Cnclusin: Tips, Questins and Answers 29 Tips Once yur data has been recnciled, we recmmend that yu: 1) Recncile last year s headcunts (jb grup cunts) against this year s transactins and final headcunts. Des it tell a stry? 2) Run practive cmpensatin analyses prir t submittal s yu can identify any ptential red flags and prepare a respnse 3) Identify any adverse impact in the selectin prcesses and prepare a respnse with supprting dcumentatin 4) Mst f all: GET HELP IF YOU NEED IT! 30

11 Q & A 31