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Contractor Compliance

Technical Assistance Tool

State Transportation Agency (STA) Responsibilities

A. IMPLEMENTATION AND ADMINISTRATION

1. Are you aware of the State Transportation Agency's (STA) Equal Employment Opportunity (EEO) Assurance requirements? Federal-Aid Highway Act of 1968, Section 22 (a) 23 USC 140 (a) Yes__ No __ ? __

2. Does the STA have an Equal Opportunity (EO) program in place that implements all of the required Federal EO provisions on Federal-aid contracts including preparing and submitting required reports? 23 CFR 230, Subpart A, Appendix A and B Yes__No__?__

3. Does the STA's EO Contractor Compliance Program include policies and procedures to determine whether all participants performing on federal-aid contracts are complying with their EO/EEO contract obligations? 23 CFR 230, Subpart D Yes__No__?__

4. Does the STA have the organizational structure including the appointment of an EO Coordinator and staff resources and support, (i.e., field project personnel, district and division personnel, etc.) to implement a standardized approach for administering the Contractor Compliance Program? 23 CFR Part 230.311, Appendix A to Subpart C, Part I Yes_No__?__

5. Does the STA prepare and submit an updated EO/EEO program to FHWA for approval? 23 CFR Part 230.311 (a)(2) and 23 CFR Part 230.313 Yes__No__?__

6. Does the annual EO/EEO Update include a Contractor Compliance accomplishment report that contains the requirements of Appendix A to Subpart C? 23 CFR 230 Appendix A to Subpart C Yes__No__?__

7. Does the STA's Contractor Compliance Program include procedures for handling discrimination complaints filed against contractors? 23 CFR Part 230, Appendix A to Subpart C, Part I, Item #VI-Complaints Yes__No__?__

8. Does the STA submit PR-1392 reports to FHWA? 23 CFR Part 230.121 Yes__No__?__

9. Does the STA have a systematic approach to ensure that the FHWA 1273 and EO/EEO contract provisions are physically incorporated into each federal-aid contract and subcontract $10,000 or more? (Consideration: The contract provisions should be incorporated in construction and non-construction contracts) 23 CFR Part 230, Subpart A, Appendix A and B, FHWA-1273 and 23 CFR 633 ¬ Yes__No__?__

10. Are you aware the STA has no enforcement authority to determine compliance of the contractor's EEO program under EO 11246? FHWA Order 4710.8 Yes__No__?__

11. Does the STA have a method to notify OFCCP of contract compliance issues with EO 11246? FHWA Order 4710.8 Yes__No__?__

12. Does the STA have collection, tracking and/or reporting systems in place to monitor and evaluate the employment and training efforts of the contractor? 23 CFR Part 230.121 Yes__No__?__

B. ON THE JOB TRAINING (OJT) / TRAINING SPECIAL PROVISIONS (TSP)

1. Does the STA's Contractor Compliance Program describe a systematic approach to establish annual training goals and project specific OJT goals on selected federal aid highway projects? 23 CFR Part 230.111 (a) Yes__ No __ ? __

2. Has the STA developed processes and procedures to implement and meet the standards of the “Training Special Provision” (TSP) on selected federal-aid highway projects? 23 CFR Part 230, Appendix B to Subpart A, and 23 CFR Part 230.111 (a) Yes__No__?__

3. Does the STA have processes in place to monitor the TSP goal attainment on selected federal-aid highway projects? 23 CFR Part 230.111 (b) Yes__No__?__

4. Does the STA inform FHWA on its ability/inability for meeting its annual training goals? 23 CFR Part 230.111 (b) (Consideration: The Headquarters FHWA Office no longer establish and publish annual suggested training goals, and the STA no longer reports its goal attainment to Headquarters; however the STA should be setting annual goals and reporting its accomplishments and annual goals to the FHWA Division Office) Yes__No__?__

5. Has the STA developed guidelines to select projects and determine how the number of trainees/apprentices will be assigned? 23 CFR Part 230.111 (c) (1-10) Yes__No__?__

6. Does the STA submit its training programs to FHWA with a recommendation for approval? 23 CFR Part 230.111 (d) (1-6) and (e)(1) Yes__No__?__

7. Does the STA ensure contractors use approved training/apprenticeship programs, as well as, evaluate the programs to ensure the contractors use programs that are designed to reach full journey level? 23 CFR Part 230.111 (f)(1)(2) (Consideration: Apprenticeship programs approved by U.S. Department of Labor does need formal approval by STA or FHWA, but the STA need to ensure they meet the EEO obligations of the contractor.) Yes__No__?__

C. EO CONTRACT COMPLIANCE PROCEDURES

1. Does the STA contract compliance program incorporate the specific procedures outlined in federal requirements under 23 CFR 230 Subpart D? 23 CFR Part 230.409 Yes__ No __ ? __

2. Does the STA have procedures for scheduling EO Compliance reviews? 23 CFR Part 230.409 (b) Yes__No__?__

3. Does the STA have procedure(s) in place to notify contractors of pending compliance reviews? 23 CFR Part 230.409 (c) Yes__No__?__

4. Does the STA conduct a preliminary analysis of the contractor's information before conducting the compliance review? 23 CFR Part 230.409 (d) Yes__No__?__

5. Does the STA have procedure(s) in place to conduct onsite verification and interviews? 23 CFR Part 230.409 (e) Yes__No__?__

6. Does the STA have procedure(s) in place to conduct exit conferences? 23 CFR Part 230.409 (f) Yes__No__?__

7. Does the STA have procedures in place to determine whether or not a contractor is in compliance with its EO/EEO contractual requirements? 23 CFR Part 230.409 (g) Yes__No__?__

8. Does the STA have methods to determine the contractor's good faith efforts and reasonable steps taken to achieve his/her EO/EEO contractual requirements? 23 CFR Part 230.409 (g) Yes__No__?__

9. Does the STA have procedures in place for enforcing noncompliance findings? 23 CFR Part 230.409 (h) Yes__No__?__

10. Does the STA have procedures in place to follow-up on contractors found in non-compliance? 23 CFR Part 230.409 (i) Yes__No__?__

11. During a contract compliance review, does the STA evaluate the contractor/subcontractor's OJT and TSP (special provisions) obligations to assure EEO and nondiscrimination? 23 CFR Part 230, Appendix A and B to Subpart A and Subpart D-230.409 (g) Yes__No__?__

12. Does the STA develop comprehensive compliance review reports that support their finding of the contractors/subcontractor's compliance determination? 23 CFR Part 230.413 (a) (1-7) Yes__No__?__

13. Does the STA submit compliance review reports to the FHWA Division EEO Specialist for concurrence and approval? 23 CFR Part 230.413(a)(1-7) and (b) (Consideration: For STA conducted reviews, the Compliance Specialist should prepare the review report within 15 days from the completion of the onsite and exit conference and submit it to the FHWA Division for approval concurrence Yes__No__?__

14. Does the STA initiate its own contract administrative actions and legal proceedings, under State/Federal law, to achieve EO/EEO on federal-aid highway projects? STA Equal Opportunity Assurances , Item #4 Yes__No__?__

15. Are you aware that the STA's failure to discharge its responsibilities under the contractor compliance program can result in the withholding or removal of federal funds? 23 CFR 1.36 Yes__No__?__

16. Does the STA conduct compliance reviews of subcontractors and material suppliers? FHWA 1273, 23 CFR 633, and 23 CFR 230. 407 (i) and 230.409 9(c)(4) Yes__No__?__

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