Got Federal-aid? Then you must have all the required contract provisions

1. Got Federal-aid?Then you must have all the required contract provisions

2. LPA’s Contract Administration Role and Responsibilities • Pre-construction meeting • Equal Employment Opportunity (EEO) • Prevailing Wages • DBE Contract Compliance • Reports

3. Preconstruction Conference • Required participants • Required bulletin board information • Publication 1321 • Publication 1088 • Minor Labor Laws Poster • FHWA 1495A • FHWA 1495 • FHWA 1022 • FHWA 1273 • Required reports • Prevailing wage requirements • EEO responsibilities • DBE requirements

4. Equal Employment Opportunity (EEO) • Sixteen EEO and Affirmative Action Requirements • The LPA is required to monitor compliance with: • Federal-Aid Construction Contracts (Form FHWA 1273) • USC, Title 23, Chapter 1, Section 140(a) EEO • 23 CFR § 23, Part 230 External Programs, Subpart A • 23 CFR § 23, Part 230 Chapter 1 Sub-chapter C Part 200 • 23 CFR § 23, Chapter 1 Part 230 Subpart D

5. LPA Template Item 9 – EEO Provisions FHWA 1273 (II.) • EEO Officer: • The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so.

6. LPA Template Item 9 – EEO Provisions FHWA 1273 (II.) • 3. Dissemination of Policy: Authorized contractor’s staff will disseminate and implement EEO policy and contractual responsibilities. To ensure that the above agreement will be met, the following actions will be taken as a minimum: • a) Periodic meetings • b) All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer within 30 days • c) EEO Officer will instruct recruitment personnel in the contractor's procedures for locating and hiring minority group employees. • d) Notices and posters setting forth the contractor's EEO policy in areas accessible to employees, applicants and potential employees. • e) Inform employees of contractor's EEO policy & procedures by means of meetings, employee handbooks, or appropriate means.

7. LPA Template Item 11 – Affirmative Action • ODOT PN 020 – Sufficient for the sale of projects through ODOT to meet FHWA / ODOT EEO requirements • Obligated under 23 CFR Part 230, 41 CFR Part 60, EO 11246, and VEVRAA (Vietnam Vet Assistance) of 1974 • Provides for minority and female utilization obligations by craft. Census driven • Defines New Hire

8. DBE Contract Compliance • Goal setting • Must have DBE commitments before contract is executed • Ohio UCP certified DBE subcontractors • How DBE participation is counted toward the DBE goal • Materials and supplies • DBE manufacturer-100% • DBE regular dealer-60% • Brokers and packagers-fees or commissions • Drop shipping • Install-100% • Obtains goods and fixes in place (must spend 20% or more time on project per day) • Stockpiling-60% (unless DBE manufacturer) • Delivers materials, goods or supplies to project site • Tailgating-100% • Delivers and installs (must spend 20% or more time on project per day)

9. DBE Contract Compliancecontinued • The following examples illustrate situations where the DBE is not performing a commercially useful function. • The DBE subcontractor purchases or leases supplies or equipment from the prime contractor; • The DBE subcontractor uses equipment of another subcontractor on the project without a lease agreement; • The DBE subcontractor uses employees of the prime contractor or another subcontractor; • A DBE subcontractor using supervisors of the prime contractor or another subcontractor; or • The DBE goal work being performed by the prime or another non-DBE subcontractor. • The DBE material supplier drop ships the materials

10. DBE Contract Compliancecontinued • Sanctions • Show cause meeting; • Immediate suspension of work; • Cessation or withholding project payments; • Require appropriate reimbursements to the DBE firm for work performed by the prime or another non-DBE subcontractor; • Investigation by the U.S. DOT Office of the Inspector General and/or the U.S. Attorney; • Revoke DBE certification; and/or • Pursue debarment of the DBE firm, prime contractor and/or subcontractor;

11. LPA – DBE Requirements • ODOT PN 013 • 49 CFR Part 26 • ODOT assigned DBE Goal obtained for all projects > $500K • Based on availability of DBE firms to perform associated work types. • LPA place goal on cover of the Bid Proposal Document and identified within ‘instructions to bidders’ • Establishes Contractor responsibilities associated with Disadvantaged Business Enterprises • Outlines waiver process of full or partial DBE goal • Sanctions to be issued by the LPA if goal not met and waiver not presented

12. LPA – DBE Requirements • Request to sublet form (ODOT C-92) and all executed subcontractor / P.O. agreements submitted to the ODOT District EEO Coordinator for review and approval - • Verify that the firm is certified as a DBE (ww.OhioUCP.org) • Verify proper NAICS code assigned for the work detailed in subcontractor • For material suppliers, compare type of material being supplied to NAICS code assigned • Information on proposed drop shipped items • No drop shipment can occur without prior approval from ODOT • If DBE is a regular dealer only 60% of expenditures may be counted toward goal, providing CUF • Entire expenditure may be counted if DBE supplier is a manufacturer that produces the goods from raw materials or substantially alters them before resale

13. LPA – DBE Requirements • ALL DBE material suppliers should be asked to provide the following information by the LPA documented through email: • I am in the process of approving the C-92’s for the referenced project • I have the some questions that I am hoping you can answer. Please refer to the attached P.O./C-92 and provide the following for each item listed: • Please identify those items that will be coming directly from your yard and any items that are intended to be drop shipped • From which of your locations will the material be shipped? • How will the item get to the project site? • Please indicate the quantities that will be delivered throughout the life of the project • Will it all be shipped at once? Or, • Will shipments be made throughout the life of the project? • Identify the name of the manufacturer that will be drop shipping (if applicable) • Forward to the District EEOCC for review and approval of C-92 • Must be approved by the District EEOCC prior to execution of the contract with the Prime. • Each subcontract or material supply agreement must be submitted to and approved by ODOT EEO CC prior to the DBE beginning work on the project.

14. LPA – DBE Requirements – Waiver Process • In the event the Contractor is unable to meet the DBE Goal placed on this project, a request for waiver of all or part of the goal may be made to the Ohio Department of Transportation through the LPA. • The Contractor must document the progress and efforts being made in securing the services of DBE subcontractors. • The written request must indicate a good faith effort was made to meet the goal and be sent to the LPA contracting authority. • The LPA forwards the request with recommended action to the ODOT District. • The ODOT District then makes recommendation and forwards the request to ODOT Office of Contracts for determination of action. • If an item of work subcontracted to a DBE firm is non-performed by LPA or the subject of an approved VECP, the Contractor may request a waiver for the portion of work excluded.

15. DBE Monitoring Requirements • DBE Quarterly Payments Form • January 10, April 10, July 10, and October 10 – Signed by LPA EEO Coordinator • Sent to District EEOCC

16. LPA Template Item 29 – Affidavit of Subcontractor Payment (if DBE) • ODOT PN 031 • 49 CFR Part 26.37 • Verifies that work committed to the DBE at Award is actually performed by the DBE. • Verifies actual payments made to DBE. • Affidavit must be signed by the Contractor within 15 days of completion and mailed to ODOT Office of Contracts • Forms on Contracts website and LATP Manual, Construction Chapter Appendices