Implementing Effective Contractor Compliance Programs

1. Implementing Effective Contractor Compliance Programs

2. OBJECTIVES Program Overview Effective Practices Evaluation, Monitoring and Enforcement Group Discussion

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

4. 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.

5. PRIMARY AUTHORITIES • 23 USC 140 (a) • State EEO Assurances • 23 CFR 230 - Subparts A, C and D • FHWA 1273

6. FHWA - 1273Nondiscrimination Contract Provisions • EEO Policy Statement; • EEO Officer; • Dissemination of Policy; • Recruitment; • Personnel Actions; • Training and Promotion; • Unions; • Selection of Subcontractors, Procurement of Materials and Leasing of Equipment; and • Records and Reports.

7. Partnership To have an effective Equal Opportunity Contactor Compliance Program (EOCCP) • Cooperation • Coordination • Communication Three major partners: FHWA, STA and the contractor(s)

8. 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.

9. Types of Compliance Reviews: • Project Specific • Area-wide • Consolidated

10. Stages of Compliance Reviews • Review Scheduling; • Contractor Notification; • Preliminary Analysis/Desk Audit; • On-site Verification and Interviews; • Exit Conference; • Compliance Determination, and • Formal Notification.

11. Compliance Determination • Voluntary Corrective Action Plan • In Compliance – Notification Letter Sent • Non Compliance – Corrective Action

12. 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.

13. 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.

14. Effective Practices • 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.

15. 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.

16. GROUP DISCUSSION

17. 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 1-888-370-3647 Sherree.Hall.Crowder@tn.gov http://www.tdot.state.tn.us/civil-rights/index.htm

18. THANK YOU