Implementing Effective Contractor Compliance Programs

OBJECTIVES

Program Overview

Effective Practices

Evaluation, Monitoring and

Enforcement

Group Discussion

PURPOSE

To ensure that federal contractors and sub-contractors do not discriminate in their employment and contracting practices on Federal-Aid Construction Projects.

EEO Program

To ensure that all persons are afforded equal or the same opportunities to participate in federally assisted programs and activities without regard to race, color, sex, age, religion, national origin or disability.

In both DOT’s workforce and in the workforce of contractors, subcontractors and material suppliers engaged in the performance of Federal-aid highway construction contracts.

PRIMARY AUTHORITIES

23 USC 140 (a)State EEO Assurances23 CFR 230 - Subparts A, C and DFHWA 1273

FHWA - 1273Nondiscrimination Contract Provisions

1. EEO Policy Statement;

2. EEO Officer;

3. Dissemination of Policy;

4. Recruitment;

5. Personnel Actions;

6. Training and Promotion;

7. Unions;

8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment; and

9. Records and Reports.

Partnership

To have an effective Equal Opportunity Contactor Compliance Program (EOCCP)

Cooperation Coordination Communication

Three major partners: FHWA, STA and the contractor(s)

Role & Responsibilities

Contractor has to take all reasonable and necessary steps to ensure that the terms and conditions of its contract are fully met.

STA is responsible for developing and implementing effective processes to monitor and determine contractor’s compliance.

FHWA has the stewardship, monitoring and enforcement responsibility.

Types of Compliance Reviews:

Project SpecificArea-wideConsolidated

Stages of Compliance Reviews

1. Review Scheduling;

2. Contractor Notification;

3. Preliminary Analysis/Desk Audit;

4. On-site Verification and Interviews;

5. Exit Conference;

6. Compliance Determination, and

7. Formal Notification.

Compliance Determination

Voluntary Corrective Action Plan In Compliance – Notification Letter Sent

Non Compliance – Corrective Action

Corrective Actions

Issue Show Cause Notice;Conduct mandatory meeting to discuss

Corrective Action Plan;Provide assistance and training;Accept CAP or Initiate Contract

Sanctions; and Conduct follow-up review.

Effective Practices

√ Conduct annual training for contractors, sub-contractors and consultants in each region;

√ Training for Construction Managers;√ Provide annual on-line training for EEO

Officers;√ On-line Technical Assistance Guide, and√ Training for Contact Compliance Officer’s CCOs Handbook.

√ Provide one-on-one assistance to resolve individual problems;

√ Conduct Technical Assistance one-on-one meetings;

√ Partner with the OFCCP to provide Contract Compliance Review Training;

√ Conduct Contractor’s Roundtables;√ Develop and disseminate a statewide Recruitment

Resource Directory, and√ Award a Certificate of Continued Contract

Compliance.

Effective Practices

PROGRAM EVALUATION, MONITORING AND ENFORCEMENT Conducts Follow-up Reviews; Requires Contractors to submit monthly

progress reports; Provides Certificates of Compliance; Provides Weekly CCR Updates; Conducts Annual Review of CCR Program; Notifies FHWA of Contractors found to be in

Non-Compliance to FHWA.

GROUP DISCUSSION

Any questions

Sherree Hall Crowder, Affirmative Action Program Director/Deputy Director

Civil Rights Office

Affirmative Action Program

505 Deaderick Street, Suite 1800

Nashville, TN 37243

615-741-5996 or 1-888-370-3647Sherree.Hall.Crowder@tn.gov

http://www.tdot.state.tn.us/civil-rights/index.htm

THANK YOU