TENTATIVE

Occ. Code 1497100

COMPLIANCE SPECIALIST 1, GRADE 18

New York State Department of Civil Service

Classification Standard

BRIEF DESCRIPTION OF CLASS

          Compliance Specialists 1 conduct investigations, inspect job sites, and review employer records to ensure 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. Many of these positions are field jobs.

          These positions are found in several State agencies with the Department of Transportation having the majority of these positions.

DISTINGUISHING CHARACTERISTICS

These positions are distinguished from Compliance Specialists 2 by the latter titles 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 positions.

Compliance Specialists 1 are distinguished from positions in the Affirmative Action Administrator title series by the latter classs primary concern with affirmative action programs for the employing agencys workforce. In contrast, Compliance Specialists are distinguished from Minority Business Specialists by the Minority Business Specialists primary concern with promoting and encouraging minority businesses to provide goods and services to the State and ensuring that contractors and localities comply with Minority Business participation requirements for publicly-funded projects and programs.

          Compliance Specialists 1: non-competitive; the full performance level in the title series; monitor, and investigate the compliance activities for one of several programs including minority business compliance, design and construction, local agencies, and not-for-profit organizations providing client or program services; perform their field duties with considerable independence, receiving policy and program direction and priorities from main office; may be the only position in an agency assigned to contractor compliance activities.

ILLUSTRATIVE DUTIES

Compliance Specialists 1 are usually supervised by higher level Compliance Specialists, Directors 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. These positions inspect job sites, investigate discrimination complaints, and monitor compliance of contractors and firms to ensure 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 employers or unions 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. 

In addition, Compliance Specialists 1 visit project sites and offices of contractors, local agencies and organizations to review their compliance with Equal Employment Opportunity contract provisions and prepare reports of findings.

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

• Participate in preconstruction conferences with the contractors designated Equal Employment Opportunity Officer to discuss methods for meeting Equal Employment Opportunity contract provisions.

• Review employer hiring practices to ensure protected classes are considered fairly for employment.

• Analyze payroll and other office records to determine protected class representation in the workforce and in skilled trades jobs.

• Arrange and conduct workshop meetings with contractors staff to explain the program.

• Review 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.

• Prepare a report of each compliance review and provide copies to main office.

• Notify contractors in writing of program deficiencies and steps that must be taken to comply with Equal Employment Opportunity contract provisions.

• Conduct follow-up visits to ensure deficiencies have been corrected.

• Review and analyze staff utilization reports submitted by contractors.

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

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

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

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

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

• Evaluate 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.

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

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

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

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

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

Coordinate 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 the 504 Compliance program.

COMMUNICATION

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.

SUPERVISION EXERCISED

          Supervision is not a distinguishing characteristic for classification of these positions; however, Compliance Specialists 1 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

Non-Competitive: Six 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. A bachelors degree may substitute for four years of experience. A masters degree may substitute for one year of 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.