Occ. Code 1497100

COMPLIANCE SPECIALIST 1, GRADE 18

New York State Department of Civil Service

Classification Standard

NATURE OF WORK

            Compliance Specialists 1 conduct investigations, inspect job sites, and review employer records to assure that contractors, sub-contractors, consultants, and minority business contractors doing business with the State comply with Federal and State Equal Opportunity statutes, rules, regulations, Executive Orders, and policies governing business receiving public funds for goods and services provided.

            These positions are found in several State agencies.

CLASSIFICATION CRITERIA AND DISTINGUISHING CHARACTERISTICS

            Compliance Specialist 1 inspect job sites, investigate discrimination complaints, and monitor compliance of contractors and firms to assure compliance with Equal Employment Opportunity contract provisions, laws, rules and regulations that govern firms receiving State and Federal money for services and goods provided to the State or to local government projects under the jurisdiction of the State.  The review and monitoring activities are concerned primarily with determining the numbers and types of protected class members in the employer’s or union’s work force, the type of assignments and training protected class members receive, career opportunities offered or available to protected class employees; determining the presence of any discriminatory practices or patterns in the salary, assignment, training, and career opportunities offered to members of protected classes by the employer or union; and investigating the validity of discrimination complaints.  Typically, positions are assigned to monitoring, investigation, and compliance activities for one of several programs:  minority business compliance, design and construction, or local agencies and not-for-profit organizations providing client or program services.  Many of these positions are field jobs and, as such, perform their duties with considerable independence, receiving policy and program direction and priorities from main office.  This is the full performance level for this series and, in some instances, the Compliance Specialist 1 will be the only position in an agency assigned to contractor compliance activities.

            These positions are distinguished from Compliance Specialists 2 by the latter class’s responsibility for developing, managing, and implementing programs and policies in accordance with Federal and State Equal Employment Opportunity mandates, assigning and directing field audits and special studies, and supervising subordinate Compliance Specialists 1, Minority Business Specialists, Affirmative Action Administrators and support staff.

            Compliance Specialists are distinguished from positions in the Affirmative Action Administrator title series by the latter class’s primary concern with affirmative action programs for the employing agency’s work force.

            Compliance Specialists are distinguished from Minority Business Specialists by the Minority Business Specialist’s primary concern with promoting and encouraging minority businesses to provide goods and services to the State and assuring that contractors and localities comply with Minority Business participation requirements for publicly-funded projects and programs.

TYPICAL ACTIVITIES, TASKS, AND ASSIGNMENTS

Visits project sites and offices of contractors, local agencies and organizations to review their compliance with Equal Employment Opportunity contract provisions and prepares reports of findings.

• Provides technical assistance to contractors and consultants in preparing affirmative action and on-the-job training programs.

• Participates in preconstruction conferences with the contractor’s designated Equal Employment Opportunity Officer to discuss methods for meeting Equal Employment Opportunity contract provisions.

• Reviews employer hiring practices to insure protected classes are considered fairly for employment.

• Analyzes payroll and other office records to determine protected class representation in the work force and in skilled trades jobs.

• Arranges and conducts workshop meetings with contractor’s staff to explain the program.

• Reviews contractor programs for handling of individual and union complaints about assignments and other matters and may investigate discrimination complaints and report problems to main office staff.

• Prepares a report of each compliance review and provides copies to main office.

• Notifies contractors in writing or program deficiencies and steps that must be taken to be in compliance with Equal Employment Opportunity contract provisions.

• Conducts follow-up visits to assure deficiencies have been corrected.

• Reviews and analyzes staff utilization reports submitted by contractors.

• Notifies main office staff of the failure of contractors to comply and provides documentation to support further action.

Investigates complaints of discrimination from employees, job applicants, community organizations, businesses, and others.

• Reviews employment, personnel, and contract records maintained by the company or organization which are pertinent to the complaint.

• Reviews records of public agencies which may have information pertinent to the complaint.

• Interviews complainant, witnesses, company or agency officials, and others to obtain additional information.

• Evaluates all information gathered to determine if discriminatory practices or procedures are or have been used by the organization or company, if the complaint is valid, and the extent of discrimination that is occurring or has occurred, including parties affected other than the complainant.

• Prepares reports of findings, including recommending sanctions or penalties.

• Meets with officials of the company or organization to discuss findings, negotiate solutions, and assist in correcting discriminatory practices.

• Conducts follow-up visits to assure discriminatory practices are discontinued.

Publicizes and promotes the program with local union offices and organizations and programs promoting protected class hiring and minority business development.

Visits local union offices to review membership requirements and skill training programs and assists in coordinating instruction and on-the-job training programs among unions, State agencies, and employers.

Coordinates program activities with public and private agencies and organizations involved with affirmative action programs.

May perform, as assigned, a combination of tasks and activities described in the standards for Minority Business Specialist 1, and/or Affirmative Action Administrators 1.

May Coordinate 504 Compliance program.

RELATIONSHIPS WITH OTHERS

            Compliance Specialists 1 have frequent written and oral communications with contractors and their employers, individuals, State and federal agency staff, and representatives from unions, businesses, and public and private organizations to explain and promote the program; conduct compliance reviews; discuss, investigate, and resolve complaints and problems; exchange information; provide technical assistance and advice about programs and the statues and regulations governing them; evaluate program effectiveness; and prepare reports of findings.  Incumbents must exercise tact and diplomacy when dealing with others to gain their cooperation and support for affirmative action and equal employment opportunity programs; and be sensitive to the needs of protected class members.

NATURE OF SUPERVISION

            Compliance Specialists 1 are usually supervised by higher level Compliance Specialists, Director of Affirmative Action Programs, Affirmative Action Administrators or Minority Business Specialists who establish program priorities, review work and reports, assign staff to audits and special projects, interpret policies and procedures, and evaluate performance.

            Compliance Specialists 1 usually do not supervise subordinate staff; however, they may supervise support staff and assist in training new program staff in conducting field activities and preparing reports.

JOB REQUIREMENTS

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

• Working knowledge of contract provisions covering the program.

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

• Working knowledge of employment standards and procedures used in determining compliance or noncompliance.

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

• Ability to prepare narrative and statistical reports describing and documenting findings.

• Ability to abstract information from different sources and compile and interpret data.

• Ability to evaluate programs and information to determine if programs or businesses comply with program mandates.

MINIMUM QUALIFICATIONS

            Either:  1)  Four 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, 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 or private sector.

            Graduate and undergraduate credits may be substituted for experience on the basis of 30 credits for each six months of experience, not to exceed two year of experience. 

OR

2) Satisfactory completion of a two year traineeship leading to appointment as a Compliance Specialist 1, Grade 18.

Reviewed:  6/03

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.