Mock Audits

Roffman Horvitz conducts two types of self-critical audits under the protection of attorney-client privilege:

  1. Internet Applicant Disposition mock audits
  2. Preparing for an OFCCP Compliance Review mock audits


Internet Applicant Disposition Audits

OFCCP continues to focus on the application and hiring processes during compliance reviews looking for indicators of adverse impact in the selection process. Most of its conciliation agreements with monetary remedies arose out of audits that honed in on adverse impact in hiring. For that reason, contractor reliance on recruiters' proper and accurate use of disposition codes in the applicant tracking system can lead either to audit success or allegations of hiring discrimination, violations, monetary remedies, publicity, and progress reporting in a conciliation agreement.

Roffman Horvitz conducts audits of recruiter dispositions to identify patterns in the data that may help a contractor implement corrective action before it has to submit applicant data to OFCCP in a compliance review. We are looking for patterns of mass dispositions, patterns of incorrect or inappropriate dispositions, and evidence that recruiters are not being strategic in their application of OFCCP's Internet Applicant definition and record keeping requirements. We hope the results of the self-critical mock audit will lead to improved record keeping and compliance with OFCCP's regulatory requirements.


Mock Compliance Review Audits

We conduct these audits in three phases, two phases of which can be set at flat fees.

Phase One: We issue a sample OFCCP scheduling letter and Itemized Listing as if both had been issued by OFCCP. (We are a little more flexible with deadline extensions than the OFCCP is). We conduct an initial conference call with the client, reviewing what the requests mean, what data needs to be gathered, and what types of information should be submitted.

The organization submits the same materials to us that it would submit to OFCCP with the exception that we require the backup data behind the analyses to be submitted to us, as well.

Phase Two: We evaluate the data using the same methodology that OFCCP would use, and we issue follow up information requests using examples that other clients have received from OFCCP in actual audits. Once we have a sense of the level of the organization's compliance and ability to respond to these types of questions, we meet with the client in a privileged setting to review in person the results of our analyses and our legal conclusions about compliance with all of the rules and regulations that OFCCP enforces.

Those two phases can be set at a flat fee.

Phase Three: The last and final phase often involves a lot of dialogue with the client, and advice and counsel about how to fix things that we discovered in the audit. It is difficult to set a flat fee up front because each client's level of readiness is going to be different. Each client is going to have different needs going forward, different issues to resolve. We would be pleased to supply you with rates upon request as well as a budget.

In our opinion, past clients who have undertaken self-audits upon receiving the OFCCP's heads-up or Courtesy Scheduling Announcement Letter (CSAL), and before the actual scheduling letter arrives, have found these mock audits to be very helpful.


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