Tentative Classification Standards issued by the Division of Classification & Compensation are shared with the operating agencies of State government for their consideration and comment. Accordingly, this document that you are viewing is subject to change and will be issued in final form at the completion of the review period.


Occ. Code 1497200










New York State Department of Civil Service


Classification Standard




            Compliance Specialists 2, 3, and 4 develop and direct an Equal Employment Opportunity Compliance Program for an agency to ensure that contractors, subcontractors, consultants, public and private not-for-profit organizations, and minority businesses doing business with State and local governments comply with federal and State Equal Opportunity statutes, rules, regulations, policies, and Executive Orders governing businesses receiving public funds for goods and services.


            These positions are found in various State agencies.




            Compliance Specialists are distinguished from positions in the Affirmative Action Administrator title series by the latter classs primary activity of developing, implementing, and monitoring affirmative action programs for an agencys workforce.


          COMPLIANCE SPECIALIST 2: non-competitive; oversees smaller Equal Opportunity and Compliance Programs and supervises Compliance Specialists 1 assigned to the Equal Employment Opportunity Compliance Program; may assist higher-level Compliance Specialists 3 or 4 with overseeing a major part of the Compliance Program or supervising the program in a large geographic area.


          COMPLIANCE SPECIALIST 3: non-competitive; oversees the largest programs, supervising five or more Compliance Specialists 1 and 2.


          COMPLIANCE SPECIALIST 4: non-competitive; one-position class; assistant director; oversees the Equal Employment Opportunity Compliance Program.






            Compliance Specialists 2 and 3 are characterized by developing, implementing, and directing an agencys Equal Employment Opportunity Compliance Program, including developing policies, procedures, and reporting requirements, interpreting statutes, rules, and regulations, reviewing program effectiveness and recommending changes, assigning staff to program audits and special projects, and supervising subordinate staff.  Compliance Specialists 2 and 3 are usually supervised by higher level Affirmative Action Administrators who provide program and policy direction and general supervision of the Compliance Program.  However, Compliance Specialists 2 and 3 are expected to direct and manage the program with considerable independence.




A Compliance Specialist 4 supervises the daily operations of the overall Equal Employment Opportunity Compliance Program in the Department of Transportation, and in that capacity, serves as the Assistant Director of the program. The Compliance Specialist 4 is a subject matter expert and provides policy recommendations to the director of the program or personally handles large high profile projects.  An incumbent also leads large scale or new projects, and provides training and guidance to other agencies.


Compliance Specialists 2, 3, and 4 perform duties in the following areas.


Plans and directs the Equal Employment Opportunity Program for an agency.


§        Develops manuals, procedures, policies, standards, guidelines, and reporting formats for the program and revises them as needs or mandates governing programs are changed.


§        Evaluates existing and revised laws, rules, regulations, and policies governing the program and ensures that the agencys program complies with these.    


§        May perform, supervise and direct a combination of tasks and activities described in the standards for Minority Business Specialist and/or Affirmative Action Administrator.


§        Interprets laws, rules, regulations, and policies for agency staff, contractors, subcontractors, minority business contractors, consultants, and public or private not-for-profit organizations governed by the program.


§        Evaluates program policies and procedures and recommends changes, including analyzing the impact that proposed changes will have.


§        Prepares periodic reports of program activities for the agency and other State and Federal agencies.


§        Evaluates staff audit reports and determines and recommends actions or sanctions needed to effect contractor compliance with program requirements.


§        Meets with contractors to discuss and negotiate solutions regarding steps needed to effect program compliance.


Develops, implements, and conducts an outreach program to encourage acceptance, support, and understanding of the program.


§        Develops and directs training programs for the designated Affirmative Action Officers of consultants, and contractors.


§        Meets with community groups, contractors, labor unions, consultants, and minority organizations, to discuss the program, promote acceptance and understanding of program goals and objectives, encourage participation, and answer questions.


§        Investigates and resolves complaints from human rights groups, the public, and individuals about the program or individual contractors.


§        Coordinates program activities within the agency and with Federal, State, and local agencies and organizations.


§        Represents the agencys program with the Legislature, other government agencies, and private organizations.


Supervises subordinate staff.


§         Interviews and selects employees for the program.


§         Plans work schedules and assigns staff to cover schedules.


§         Assigns staff to field audits and special projects.


§       Trains staff and provides periodic retraining as programs or the mandates governing them change.


§       Evaluates staff performance to assess strengths and weaknesses, determines individual and group training needs, and counsels individuals about individual performance standards and how they should meet them.


§       Reviews work activities and reports and assists staff in resolving problems and developing alternative actions or solutions to problems.


§       Interprets laws, rules, regulations, and policy for staff and assures that staff comply with these.


May perform tasks and activities described in the standard for Compliance Specialist 1.


May coordinate, direct and supervise 504 Compliance Program.




          Compliance Specialists 2, 3, and 4 have frequent written and oral communications with agency program managers and staff, State and federal agency staff, and representatives of business, unions, and public and private organizations to promote and explain the program, evaluate compliance activities, negotiate solutions to problems, provide technical assistance and advice, interpret statutes, policies, rules, and regulations, evaluate program effectiveness, and exchange information.  Incumbents must exercise tact and diplomacy to gain cooperation and support for the program, negotiate solutions to problems, and encourage compliance.




           Compliance Specialists 2 and 3 supervise lower level Compliance Specialists, and office clerical staff by assigning staff to audits and projects, reviewing work for accuracy, completeness, and compliance with program requirements, evaluating performance, training, establishing program priorities, interpreting policies, procedures, laws, rules, and regulations, and resolving complex problems.  As assigned, Compliance Specialists 2 and 3 may supervise lower level Compliance Specialists 1, Minority Business Specialists, and Affirmative Action Administrators.


          The Compliance Specialist 4 serves as the assistant director of a large, complex program and supervises the daily activities of lower level Compliance Specialists engaged in a statewide program.




Good knowledge of State and Federal laws, rules, and regulations governing Equal Employment Opportunity and minority business contractor programs.


Good knowledge of policies and procedures used for conducting compliance reviews and determining compliance or noncompliance.


Good knowledge of policies and contract provisions covering the program.


Working knowledge of procedures and sanctions permitted to gain compliance or remove contractors, consultants, subcontractors, minority businesses, and public and private not-for-profit organizations from eligibility for public funds.


Working knowledge of the principles of supervision.


Working knowledge of program planning and work scheduling.


Ability to train and supervise subordinate staff.


Ability to establish satisfactory relationships with others and establish rapport with a variety of groups and individuals.


Ability to prepare, evaluate, and interpret narrative and statistical reports describing and documenting findings.


Ability to develop and evaluate programs, policies, and procedures.


Ability to select, from a variety of alternatives, the most effective methods of gaining compliance or sanctions appropriate to findings.


Ability to establish program priorities.






Non-Competitive:  Seven years of experience in the review, investigation, and/or evaluation of compliance with equal employment opportunity laws, rules and regulations; in the planning, development, implementation, and review of programs dealing with equal employment opportunity, human rights, affirmative action, minority business program coordination, and/or labor relations directly relating to affirmative action; or in the development and administration of programs designed to facilitate minority community access to employment or business opportunities in the public and private sector.  One year of this experience must have been at a supervisory level.  A bachelors degree may substitute for four years of the non-supervisory experience. A masters degree may substitute for one year of the non-supervisory experience.




Non-Competitive:  Eight years of experience as described for the Compliance Specialist 2, including one year of experience at the supervisory level.  A bachelors degree may substitute for four years of the non-supervisory experience. A masters degree may substitute for one year of the non-supervisory experience.




Non-Competitive:  Nine years of experience as described for the Compliance Specialist 2, including two years at a supervisory level.  A bachelors degree may substitute for four years of the non-supervisory experience. A masters degree may substitute for one year of the non-supervisory experience.


Revised:  7/17



NOTE: Classification Standards illustrate the nature, extent and scope of duties and responsibilities of the classes they describe.  Standards cannot and do not include all of the work that might be appropriately performed by a class.  The minimum qualifications above are those which were required for appointment at the time the Classification Standard was written.  Please contact the Division of Staffing Services for current information on minimum qualification requirements for appointment or examination.