Form 15004 Annual Voluntary Credit Unions Diversity Self-Assessment

NCUA - Annual Voluntary Credit Union Diversity Self-Assessment

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OMB #3133-0193

Annual Voluntary Credit Union Diversity SelfAssessment
Best Practices for Demonstrating a Commitment to Diversity and Inclusion

Diversity coupled with inclusion should be a strategic business goal for credit unions. This SelfAssessment reflects guidance for advancing workforce and supplier diversity and identifies 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 form in support of the Interagency Policy Statement Establishing Joint
Standards for Assessing Diversity Policies and Practices
(https://www.ncua.gov/About/leadership/Documents/Minority-and-Women-Inclusion/LCU2015-05InteragencyPolicyJointDiversity.pdf). It is designed to guide and inform a credit union’s selfassessment. Credit unions are encouraged to conduct and voluntarily submit a self-assessment
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.

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Use of Information by the NCUA
The aggregate information may also be used to identify areas where assistance with resources may be
needed and to highlight successful policies and practices. 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 (/Home/Survey?Length=4)

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.

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OMB #3133-0193

Annual Voluntary Credit Union Diversity SelfAssessment
Best Practices for Demonstrating a Commitment to Diversity and Inclusion

Section I – Credit Union Information
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Submit

Reporting Year
2019

Credit Union Name/Charter or Insurance Certificate Number
Enter Credit Union Name/Charter or Insurance Certificate Number

OR

Find My Credit Union by State

Total Number of Employees
Enter Total Number of Employees
Reporting Year 2019

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Total Members
Total Members
Total Assets
$

Total Assets

Phone
Phone
Website
Website
Region
Region
Mailing Address

Actual Address

Year Chartered
Year Chartered
Brief Description of Credit Union
(i.e., field-of-membership or common bond, member or community characteristics, or geographic location)

Enter brief description

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Business Contact Information*
Point of Contact (POC)
for this self-assessment
(generally the preparer)

Diversity and Inclusion
(D&I) Officer or
equivalent
Same as CU POC

Supplier Diversity Officer
or equivalent

Same as CU POC
Same as D&I Officer

Point of Contact Name

D&I Officer Name

Supplier Diversity Officer Name

Point of Contact Title

D&I Officer Title

Supplier Diversity Officer Title

Email

Point of Contact Email

D&I Officer Email

Supplier Diversity Officer Email

Phone

Point of Contact Phone

D&I Officer Phone

Supplier Diversity Officer Phone

Point of Contact Fax

D&I Officer Fax

Supplier Diversity Officer Fax

Name

Title

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.

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.
In a manner reflective of our size and other
characteristics, our credit union:

Yes

Comments

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

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.

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

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.

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:
Enter your definition of diversity if it differs from the above definition

B - Workforce Profile and Employment Practices
(Optional, you may submit the self-assessment without this information)
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.
In a manner reflective of our size and other
characteristics, our credit union:

Yes

Comments

B1 - Implements policies and practices to
ensure equal employment opportunities for
employees and applicants for employment.

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

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

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.
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.

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

B6 - Uses analytical tools, including quantitative and
qualitative data, to assess, measure and track:
footnote

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
and open access to contracting opportunities to minority and women-owned businesses. 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 for the credit union 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.
In a manner reflective of our size and other
characteristics, our credit union:

Yes

Comments

C1 - Has a written supplier diversity policy that
provides opportunities for minority- and womenowned businesses to bid to deliver business
goods and services to us.

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

C2 - Has leadership support to incorporate
supplier diversity into business planning cycles
or initiatives.

C3 - Has an established policy to solicit bids
from a certain number or percentage of qualified
minority- and women-owned businesses.

C4 - Conducts targeted outreach specifically to
inform minority- and women-owned businesses
or affinity groups representing these
constituencies of contracting opportunities and
how to do business with us.
C5 - Uses metrics to identify a baseline and track:
C5a - The total amount we spend annually
buying and contracting goods and services.

C5b - The availability of relevant minority- and
women-owned businesses to compete in our
contracting opportunities.

C5c - The amount we spend with minority- and
women-owned businesses.

C5d - The percentage of contract dollars
awarded to minority- and women-owned
businesses by race, ethnicity, and gender as
compared to total contract dollars awarded for
the calendar year.
Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

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 minorityand 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 women-owned 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
Reporting Year 2019

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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.
In a manner reflective of our size and other
characteristics, our credit union:

Yes

D1 - Periodically publishes information about our
efforts to enhance diversity and inclusion, which may
include:

Comments

Please email [email protected]
a sample or share a hyperlink below if
appropriate.

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:

Please email [email protected]
a sample or share a hyperlink below if
appropriate.

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

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:

Please email [email protected]
a sample or share a hyperlink below if
appropriate.

D3a - Employment and internship
opportunities.

D3b - Contracting opportunities.

Reporting Year 2019

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In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

D3c - Mentorship or developmental programs
for employees.

D3d - Developmental programs for potential
contractors.

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 the NCUA and the public.
In a manner reflective of our size and other
characteristics, our credit union:

Yes

Comments

E1 - Conducts a self-assessment or evaluation
of our diversity policies and practices annually.

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 selfassessment or evaluation of our diversity
policies and practices to the NCUA’s OMWI
director annually.

Reporting Year 2019

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NCUA - Annual Voluntary Credit Union Diversity Self-Assessment

In a manner reflective of our size and other
characteristics, our credit union:

Yes

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Comments

E4 - Publishes information pertaining to our
assessment of our diversity policies and
practices.

Section III – Diversity Data
Workforce Profile
(Optional, you may submit the self-assessment without this information)
What is the demographic composition of your workforce? NOTE: The categories below are the same
categories for race and ethnicity that the EEOC adopted for the EEO-1 Report.
ALL Employees
(Include

Management
Employees ONLY

Management but

(Do not include

do not include

Board Members or

Board Members or

Volunteers)

Board
Members
ONLY

Volunteers)

TOTAL NUMBER

Number of Women

Number of Men

Enter NON-Hispanic or Latino ONLY
American Indian or Alaska Native

Asian

Black or African American
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ALL Employees

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(Include

Management
Employees ONLY

Management but

(Do not include

do not include

Board Members or

Board Members or

Volunteers)

Board
Members
ONLY

Volunteers)

Native Hawaiian or Other Pacific
Islander
White

Two or more races

Enter Hispanic or Latino ONLY
Hispanic or Latino ONLY

Enter Unspecified/Not Known ONLY
Unspecified/Not Known ONLY

Procurement – Supplier Diversity
(Optional, you may submit the self-assessment without this information)
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

Percent of Total

enter year

Total Spend

$

Amount (to the nearest dollar)

Minority-Owned

$

Amount (to the nearest dollar)

Woman-Owned

$

Amount (to the nearest dollar)

$

Amount (to the nearest dollar)

Both Minority-Owned and
Woman-Owned
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0.00%

0.00%

0.00%

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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].
Enter Recommendations and Feedback

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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