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Contract Compliance Reviews

 

Contract Compliance Forms

 

Contract Compliance Review

Title 23 → Chapter I → Subchapter C → Part 230 → Subpart D → §230.409

The Contractor Compliance Program ensures that Federal contractors and subcontractors performing work on Federal and federally assisted highway contracts comply with nondiscrimination and affirmative action requirements. In this video you will learn: Equal Opportunity Contractor Compliance Program objectives, background and how to apply appropriate authorities in making EO compliance determinations. A detailed overview of the contract compliance review process is also covered. This course highlights the key roles and responsibilities of FHWA, State transportation agencies, and contractors to ensure EO in Federal-aid highway construction projects.

What is a Contract Compliance Review?

The Equal Employment Opportunity and Affirmative Action (EEO/AA) requirements of a contract are enforced through Contract Compliance Reviews (CCR) and conducted by the Contract Compliance Office in DOT&PF Civil Rights section. In agreement with the Federal Highway Administration (FHWA) DOT&PF is required to perform a designated number of CCRs annually.

The CCR is a comprehensive review that investigates all aspects of a contractor's employment practices. CCR generally consists of six steps: Review Scheduling, Contractor Notification, Preliminary Analysis, Onsite Verification and Interviews, Exit Conference, and Compliance Determination and Formal Notification.

Review Scheduling: Who is selected for CCRs?

Each year (usually in February) the CRO selects a designated number of contractors for review based on a number of criteria:

  • Largest dollar value FHWA assisted contracts
  • Largest number of FHWA assisted contracts
  • Contracts which are the type, size, and duration to provide the contractor with maximum hiring and promotional opportunities
  • Contractors who have past reporting data which indicates regularly underutilizing women and minorities in their workforce
  • Contracts that contain Special Provision Section 645, OJT training program
  • Contractors FHWA specifically requests to have reviewed
  • Contractors who have complaints filed against them regarding employment practices

Contractors who were found in non-compliance the previous construction season, and are working on FHWA assisted contracts in the upcoming season, are automatically selected for a follow-up review regardless of size or duration of the project involved.

Contractor Notification

Once the contractor is selected the Contract Compliance Office will provide written notification and forward the following documents: Initial Letter, CCR Checklist, Utilization Report, Sample Employee List, FHWA 1273, Women and Minority Organization List, Required Postings, Federal EEO Bid Condition. We request to receive all required documentation no later than one month prior to the onsite visit. The onsite visit will be scheduled during the peak employment time, which holds the greatest potential for employment and promotion of minorities and woman.

Preliminary Analysis

Once the required documentation is received the Contract Compliance Office will conduct the preliminary analysis where all documentation will be reviewed. We will analyze the employment patterns, policies, practices, and programs of the contractor.

Onsite Verification and Interviews

The Contract Compliance Office will visit the worksite on the scheduled date where we will interview a selected number of random employees. We will also check to make sure that the EEO posters are displayed in conspicuous places and that the facilities are provided on a non-segregated basis.

Exit Conference

After the onsite visit and once all records are reviewed there is an exit conference. This allows the officer conducting the review to discuss with the contractor any preliminary findings that, if not corrected immediately or not corrected by a Voluntary Corrective Action Plan (VCAP), would necessitate a finding of non-compliance.

Compliance Determination and Formal Notification

The evidence obtained during the CCR will determine if the contractor will be found in Compliance or in non-Compliance. The contractor will be found in Compliance when the equal opportunity requirements have been effectively implemented, or there is evidence that every good faith effort has been made. The contractor shall be found in non-Compliance when there has been discrimination against applicants or employees, or when the contractor fails to provide evidence of every good faith effort to provide equal opportunity.

Formal Notification

Once the CCR is completed and DOT&PF has concurrence from FHWA with the findings, the contractor will be notified in writing of the determination. If the contractor is found in non-Compliance, action efforts to bring the contractor into compliance shall be initiated through the issuance of a Show Cause Notice.

Corrective Action Plans (CAP)

If during the review deficiencies are found, which cannot be corrected with a VCAP, or if a requested VCAP was not submitted, a Show Cause Notice (SCN) will be issued. The SCN requires a CAP to be submitted within 30 days of receipt by the contractor. Should a CAP not be received or be unacceptable, the contractor could receive sanctions such as: withholding payments to the contractor until deficiencies are corrected and disbarment.

Prompt Payment

Alaska Prompt Pay Statute: www.legis.state.ak.us/basis/statutes.asp#36.90.200
 
Monthly Reporting of DBE Participation: To enable DOT&PF CRO to monitor compliance with prompt payment requirements, contractors are required to report payments made to DBEs on a monthly basis using Form 25A-336. Prime contractors must report, by the 15th of each month, payments made to all DBE subcontractors and suppliers during the preceding month.