Form NCUA 15004 NCUA 15004 Annual Voluntary Credit Union Diversity Self-Assessment

Annual Voluntary Credit Union Diversity Self-Assessment
__________________________________________________________
Diversity coupled with inclusion should be a strategic business goal for credit unions. This SelfAssessment reflects guidance for advancing workforce and supplier diversity and showcases best
practices for demonstrating a commitment to diversity and inclusion. When made a priority, diversity and
inclusion can help your credit union grow and better serve your membership.
The NCUA provides this self-assessment in support of the Interagency Policy Statement Establishing
Joint Standards for Assessing Diversity Policies and Practices. It is designed to guide and inform a credit
union’s self-assessment. Credit unions are encouraged to conduct and voluntarily submit a selfassessment annually and to use this form as a tool to aid in setting strategic goals and priorities for the
credit union’s diversity and inclusion efforts.
Key Points about this Self-Assessment
1. This self-assessment is voluntary. It is neither mandatory nor required by law.
2. The self-assessment is outside of the scope of the examination process. The NCUA examiners
will not see your credit union’s results and they have no impact on your CAMEL rating or exam
outcome.
3. Assessment data will only be used in an aggregate form. For example, in an annual report to
Congress. The NCUA will not name any specific credit unions in any reporting, unless the credit
union explicitly consents to this in writing.
4. The NCUA believes credit unions generally develop and implement successful diversity policies
and practices gradually, over a period of time. There is no expectation that participating credit
unions will implement every listed best practice. Some credit unions, especially those with more
than 100 employees, can use information they gain from conducting self-assessments to begin or
to strengthen on-going efforts to promote diversity and inclusion.
Use of Information by the NCUA
The NCUA will use information submitted by credit unions to monitor progress and trends in the credit
union industry with regard to diversity and inclusion in employment and contracting activities. Responses
will be aggregated and used in reports such as the NCUA’s annual report to Congress.
The information may also be used to identify and highlight successful policies and practices. The NCUA
may publish leading practices in any form that does not identify a particular credit union or individual or
disclose confidential business information.
BEGIN SELF-ASSESSMENT
This form is authorized by law (12 U.S.C. Section 342(b)(2)(C)) and is voluntary.
Paperwork Reduction Act Statement: The estimated average public reporting burden associated with this information collection is 8 hours per response. Comments
concerning the accuracy of this burden estimate and or any other aspect of this information collection, including suggestions for reducing this burden should be address
to the National Credit Union Administration, ATTN: PRA Clearance Officer, 1775 Duke Street, Alexandria, Virginia 22314. An agency may not conduct or sponsor,
and a person is not required to respond to, an information collection unless it displays a valid OMB control number.

OMB Control No. 3133-0193

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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
Section I – Credit Union Information
Region

Self-Assessment Reporting Year:

Charter/Insurance
Certificate Number:

Date:

Credit Union Name

Data below is as of _____________
Total Assets
CU Address
Additional Address
CU Phone Number
CU Email Address

Number of Members

Number of Employees

CU Fax Number
CU Web Address

Brief description of credit union (i.e. field of membership or common bond, member or community
characteristics, or geographic location):

Business Contact Information*
CU Point of Contact for
this Self-Assessment
(generally the preparer)

Diversity and Inclusion
Officer or Equivalent

Supplier Diversity Officer
or Equivalent

O Same as CU POC

O Same as CU POC
O Same as D&I Officer

Name
Title
Business Email
Business Phone
Business Fax
*NCUA will use the Business Contact Information provided SOLELY for the purpose of follow-up communications and will not
share such information publicly or outside of NCUA (unless required by court order to do so). If you choose not to identify a
point of contact, you can still provide an email address and we will communicate via the email address provided.

CHART/INS #, CU NAME, CUDSA REPORTING YEAR
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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
Section II – Self-Assessment
Please identify which practices your credit union currently engages in and share your comments in the
space provided.

A – Organizational Commitment to Diversity and Inclusion
Successful diversity policies and practices generally begin at the top, with leadership that demonstrates its
commitment by promoting diversity and inclusion in both employment and contracting and by fostering
an organizational culture that embraces diversity and inclusion. This leadership includes the board of
directors, senior officials, and staff managing the daily operations. The following best practices
demonstrate an organizational commitment to diversity and inclusion.
Comments
STANDARD 1 – Organizational Commitment to Diversity
and Inclusion

YES

PLEASE SHARE your program successes
or challenges. Include hyperlinks where
appropriate or email a sample to
[email protected].

In a manner reflective of our size and other characteristics,
our credit union:
A1 – Has a written diversity and inclusion policy approved by
senior leadership, including the board of directors and senior
management.
A2 – Has a senior-level official with knowledge of and
experience in diversity and inclusion policies and practices to
oversee our diversity and inclusion strategies and initiatives.
A3 – Regularly conducts training and provides educational
opportunities on equal employment opportunity and on diversity
and inclusion.
A4 – Takes proactive steps to include a diverse pool of women
and minorities or other diverse individual candidates for:
A4a – Hiring, recruiting, retention, or promotion of
employees
A4b – Selection of board member candidates and senior
management
A5 – Includes diversity and inclusion considerations in our
strategic plan for recruiting, hiring, retention, and/or promotion
of our workforce.
A6 – Includes diversity and inclusion considerations in our
strategic plan in contracting with vendors.
A7 – Provides regular (such as quarterly) progress reports on
diversity and inclusion efforts to our board of directors or senior
management.

CHART/INS #, CU NAME, CUDSA REPORTING YEAR
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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
The definition of diversity established by the Joint Standards references minorities and women, but does
not preclude you from using a broader definition of diversity. If your credit union defines diversity more
broadly including characteristics such as individuals with disabilities, veterans, or lesbian, gay, bisexual,
and transgender individuals, please describe:

B – Workforce Profile and Employment Practices
Credit unions can promote the fair inclusion of minorities, women, or other diverse individuals in their
workforce by proactively working to expand applicant pools to include diverse candidates; cultivating a
culture that values the contribution of all employees; and encouraging a focus on inclusion when
evaluating the performance of managers. Common best practices to promote diversity and inclusion in the
workforce include the following.

STANDARD 2 – Workforce Profile and Employment
Practices

Comments
YES PLEASE SHARE your program successes or

In a manner reflective of our size and other characteristics,
our credit union:
B1 – Implements policies and practices to ensure equal
employment opportunities for employees and applicants for
employment.
B2 – Implements policies and practices that create or foster
diverse applicant pools for employment opportunities. These may
include:
B2a – Conducting outreach to minority, women, or other
diverse individuals. (footnote #1)
B2b – Conducting outreach to educational institutions serving
significant or predominantly minority, women, or other
diverse student populations.
B2c – Participating in conferences, workshops, and other
events that attract minorities, women, or other diverse
individuals to inform them of employment and promotion
opportunities.
B3 – Communicates employment opportunities through media
reaching diverse populations, including publications or
professional organizations and educational institutions
predominantly serving minority, women or other diverse
populations.

CHART/INS #, CU NAME, CUDSA REPORTING YEAR
OMB Control No. 3133-0193

challenges. Include hyperlinks where
appropriate or email a sample or example to
[email protected].

If CU answers “yes” generate a
prompt that reads: “Please share!
Include a hyperlink or email an
example to
[email protected].”

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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
B4 – Cultivates relationships with professional organizations or
educational institutions that primarily serve minority, women, or
other diverse individuals or organizations.
B5 – Evaluates our diversity and inclusion programs regularly,
and identifies areas for future improvement.
B6 – Uses analytical tools, including quantitative and qualitative
data, to assess, measure and track: (footnote 2)
B6a – Our workforce diversity at all levels, including
supervisory and executive ranks, by race, ethnicity, gender or
other diverse categories.
B6b – The inclusiveness of our employment practices for
hiring, promotion, career development, internships, or
retention, by ethnicity, gender, or other diverse category.
B7 – Holds management accountable for diversity and inclusion
efforts, for example by ensuring these efforts align with business
strategies or individual performance plans.

C – Procurement and Business Practices – Supplier Diversity
Credit unions can craft and implement supplier diversity policies and practices to expand outreach for
contracting opportunities to minority- and women-owned businesses (footnote 5). This involves providing
opportunities for diverse businesses to bid on contracts or procurement activities (office supplies,
promotional items, and legal, auditing or accounting services, for example) and informing diverse vendors
of how to do business with your credit union. The goal is to develop a competitive advantage by having a
broad selection of suppliers to choose from with respect to factors such as price, quality, attention to
detail, and future relationship building. Following are examples of effective ways to implement or
demonstrate a commitment to supplier diversity.

STANDARD 3 – Procurement and Business Practices –
Supplier Diversity

Comments
YES PLEASE SHARE your program successes or

In a manner reflective of our size and other characteristics,
our credit union:
C1 – Has a written supplier diversity policy that provides
opportunities for minority- and women-owned businesses to bid
to deliver business goods and services to us.
C2 – Has leadership support to incorporate supplier diversity into
business planning cycles or initiatives.
C3 – Encourages by policy that some percentage of our outside
contracts solicit bids from qualified minority- and women-owned
businesses.

challenges. Include hyperlinks where
appropriate or email a sample or example to
[email protected].

If CU answers “yes” generate a
prompt that reads: “Please share!
Include a hyperlink or email a sample
to [email protected].”

If CU answers “yes” generate a
prompt that reads: “Please share!
Include a hyperlink or email a sample
to [email protected].”

C4 – Reaches out specifically to inform minority- and womenowned businesses or affinity groups representing these
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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
constituencies of contracting opportunities and how to do
business with us.
C5 – Uses metrics to identify a baseline and track:
C5a – The amount we spend buying and contracting goods
and services.
C5b – The availability of relevant minority- and womenowned businesses.
C5c – The amount we spend with minority- and womenowned businesses.
C5d – The percentage of contract dollars awarded to minorityand women-owned businesses by race, ethnicity, and gender
as compared to total contract dollars awarded for the calendar
year.
C5e – The changes related to the above items over time.
C6 – Implements practices that promote a diverse supplier pool
which may include:
C6a – Participation in conferences, workshops, and other
events that attract minority- and women-owned businesses to
inform them of our contracting opportunities.
C6b – Maintaining a listing of qualified minority- and
women-owned businesses that may bid on upcoming
contracting opportunities.
C6c – Having an ongoing process to publicize our contracting
opportunities.
C7 – Encourages prime contractors to use minority- and womenowned subcontractors by incorporating this objective into their
business contracts.

D – Practice to Promote Transparency of Organizational Diversity and
Inclusion
Transparency and communications are essential aspects of assessing diversity policies and practices.
Transparency does not require you to share confidential or proprietary information. Credit unions can
communicate information about their diversity and inclusion efforts through normal business methods,
such as displaying information on websites, on appropriate promotional materials, and in annual reports
to members.
By communicating your commitment and plans for achieving diversity and inclusion and the metrics to
measure success in workplace and supplier diversity, you inform a broad constituency of current and
potential members, employees, suppliers and the general community about your efforts to promote
diversity and inclusion. The publication of this information can make new markets accessible for
minorities, women, and other diverse groups, and illustrate the progress made toward an important
business goal. Following are some ways to promote transparency of your credit union’s diversity and
inclusion efforts.

CHART/INS #, CU NAME, CUDSA REPORTING YEAR
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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
Comments
STANDARD 4 – Practices to Promote Transparency of
Organizational Diversity and Inclusion

YES

In a manner reflective of our size and other characteristics,
our credit union:
D1 – Periodically publishes information about our efforts to
enhance diversity and inclusion, which may include:
D1a – Demographic information on workforce composition
(such as that found on an annual EEOC report).
D1b – Demographic information on supplier diversity
(contracting activities).
D1c – Demographic information on the board members and
other officials.
D1d – Information on sponsorships or partnerships with
diverse organizations.
D1e – Other information on our diversity and inclusion
efforts.
D2 – Makes the following information public:
D2a – Our diversity and inclusion strategic plan.
D2b – Our policy on the credit union’s commitment to
diversity and inclusion in the workforce.
D2c – Our policy on the credit union’s commitment to
diversity and inclusion to supplier diversity.
D2d – Our efforts and progress toward achieving diversity and
inclusion in our workforce and contracting activities.
D3 – Publicizes opportunities that promote diversity and
inclusion, which may include:
D3a – Employment and internship opportunities.
D3b – Contracting opportunities.
D3c – Mentorship or developmental programs for employees.
D3d – Developmental programs for potential contractors.

PLEASE SHARE your program successes or
challenges. Include hyperlinks where
appropriate or attach a sample.

Please share a sample or hyperlink
below if appropriate

Please share a sample or hyperlink
below if appropriate

Please share a sample or hyperlink
below if appropriate

E – Self-Assessment
Credit unions with successful diversity policies and practices allocate time and resources to monitor and
evaluate performance of diversity policies and practices on an ongoing basis. The NCUA encourages
credit unions to disclose their diversity policies and practices and related information to both NCUA and
the public.

CHART/INS #, CU NAME, CUDSA REPORTING YEAR
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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
Comments
YES PLEASE SHARE your program successes or

STANDARD 5 – Self-Assessment

challenges. Include hyperlinks where
appropriate or attach a sample.

In a manner reflective of our size and other characteristics,
our credit union:
E1 – Conducts a self-assessment or evaluation of our diversity
policies and practices annually. (Completion of this selfassessment satisfies this standard, so this section prepopulates
with a “yes” response.)
E2 – Modifies our diversity policies and practices based on the
results of the self-assessment or evaluation of our diversity
policies and practices.
E3 – Provides information pertaining to the self-assessment or
evaluation of our diversity policies and practices to the NCUA’s
OMWI director annually.
E4 – Publishes information pertaining to our assessment of our
diversity policies and practices.

X

Section III – Diversity Data
Workforce Profile
ALL Employees

(do not include Board
Members or Volunteers)

100

40

TOTAL NUMBER
Number of Women
Number of Men
NON-Hispanic or Latino ONLY:

Management
Employees ONLY

(include Management but do not
include Board Members or
Volunteers)

65
35

American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
Two or more races

15
15
15
15
15
10

Hispanic or Latino ONLY

15

Board Members
ONLY

65%
22
55%
35%
18
45%
Enter NON-Hispanic or Latino ONLY
15%
8
20%
15%
8
20%
15%
8
20%
15%
8
20%
15%
8
20%
10%
0
0%
Enter Hispanic or Latino ONLY below:
15%
0
0%

CHART/INS #, CU NAME, CUDSA REPORTING YEAR
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7
5
2

71%
29%

1
2
1
1
1
0

14%
29%
14%
14%
14%
0%

1

14%

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NCUA Form 15004 (Revised 6/2018)

Annual Voluntary Credit Union Diversity Self-Assessment
Procurement – Supplier Diversity
What is the credit union’s total annual procurement spend for the prior year with minority and womenowned businesses compared to the total procurement spend with all vendors and suppliers?

As of December 31

enter year

Total Spend
467,000
$
Minority-Owned
Women-Owned
Both Minority-Owned and Women-Owned

Percent of
Total
$
$
$

199,000
100,000
18,000

43%
21%
4%

Section IV – Recommendations and Feedback
The NCUA welcomes your feedback on this form and recommendations on how we can assist credit
unions with their diversity and inclusion efforts. Please share your thoughts below or email us at
[email protected].

Section V – Success Stories
Do your diversity and inclusion efforts include a special loan, share, or other type of product or service?
Have you run special marketing campaigns that have been effective in promoting diversity and inclusion?
We’re always looking for diversity and inclusion success stories to share when reporting the value and
benefits of diversity and inclusion in credit unions. We only share information anonymously unless given
specific authorization to use your credit union’s name so please share your success stories below or email
them to us anytime at [email protected].

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CHART/INS #, CU NAME, CUDSA REPORTING YEAR
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NCUA Form 15004 (Revised 6/2018)