1

Civil Rights Requirements on Federally Funded Construction Projects

2013

2

Mission & Vision Statements

ODOT and Office of Civil Rights Missionand Vision Statements:

OCR’s VisionTo be a leader in the development of programs that increase opportunities for our workforce and small business stakeholders.

ODOT’s MissionOregon Department of Transportation is dedicated to a well-qualified, diverse workforce representative to the public it serves. Diversity is an ODOT strategic business value taking advantage of diverse, creative thinking, collaboration, and problem solving toward common State and Federal Transportation goals.

3

Objectives

Increase knowledge and understanding of Civil Rights Programs on Transportation Construction Projects

~Program Purposes~Roles and Responsibilities~Required Forms

• When and how to complete and review

4

OCR Programs Overview

Disadvantaged Business Enterprise (DBE)

Title VI Compliance

Equal Employment Opportunity (EEO)

On-The-Job-Training (OJT)/Apprenticeship Programs

5

Disadvantaged Business Enterprise(DBE) Program

• DBE Policy created with intent to:• Ensure nondiscrimination on the basis of race,

color, sex, or national origin• Create an equitable environment for DBEs to

compete fairly for contracts and subcontracts• To share this policy with the business community

Adhering to the DBE Program and policy is a CONDITION of FUNDING for USDOT-assisted

(FHWA, FTA, FAA) contracts.

6

What is a DBE?DBE’s are small businesses that are at least 51% owned by: • Women or Minorities (Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans and Subcontinent Asian Americans) • Or other individuals on a case-by-case basis

The DBE eligibility criteria is based on US DOT regulations, 49 CFR 26.

Disadvantaged Business Enterprise (DBE) firms have contracting opportunities with recipients of federal transportation-related

projects. Some of the recipients in this category include the Oregon Department of Transportation (ODOT), Tri-Met and the Port of

Portland.

Review application qualifications for free certification at the Oregon Office of Minority, Women and Emerging Small Business

(http://www.oregon4biz.com )

7

DBE Work Plan Proposal (Form 3A)

1. Tells us how the DBE will perform work

2. Opportunity to identify and head off potential CUF issues

PM reviews, comments

FC reviews, comments

3. Identify potential CUF issues and provide to Prime & DBE

4. Try to correct problems before they happen

5. Baseline to compare CUF Review - Form 3B

Required from all DBEs priorto DBE starting work.

8

CUF Reviews (Form 3B)

Performed by Inspectors. Process in place – Good tracking system to keep federal funding for ODOT projects.

Prime Contractor notifies Inspector when DBE will be on site.

Inspector performs at least 1 CUF review per season (see Construction Manual Chapter 18).

If there’s no compliant CUF record, we aren’t allowed to report the DBE payments to FHWA for credit toward committed and non-committed goals.

9

Summary Report of Subs Paid

DBE utilization and sub payment data comes from the monthly summary reports.

Subcontracts and monthly summary reports are how we track whether ODOT meets its annual DBE Goal (16.95% for FFY 2013) And, how we track whether a prime meets the contract goal.

All DBE’s must have a subcontract to begin the tracking process.

10

DBE Compliance

• Projects with contract goals Prime Contractor submits with bid DBE Commitment

Certification and Utilization Form 734-2785 (included in bid packet).

Prime Contractor within 10 days of Intent to Award submits Form 734-2531.

• Termination/Replacement of Committed DBEs: Prior written consent; must be for “good cause” and prime self-performing some DBE work is considered partial

termination

• Tightening Processes & Procedures Ask FC for technical advice and assistance.

• DBE Program forms are being updated.

11

Title VI Program

• Purpose Ensure nondiscrimination compliance within each

program area activity.

“No person in the United States shall on the ground of race, color, or national origin be excluded from participation in, denied the benefits of, or subjected to discrimination under any program or activity receiving Federal financial assistance” Civil Rights Act of 1964, (42 USC § 2000d).

12

Construction & Title VI Issues

Analyze Potential Impacts and develop mitigating measures.o Use information gathered in Planning and Project development to

determine accommodation.o Federal-aid construction contracts should contain required

contract provisions that prohibit discrimination.o Monitor project to determine required mitigation measures have

been effectively implemented (e.g. safety through construction zones, noise and air impacts, employment and contracting goals).

Note the effects or changes that Title VI public involvement activities had on development or construction outcomes.o For example, complaints, suggestions, or comments that were

made and how they were resolved or incorporated into the design.

Civil Rights Complaints

13

Title VI Complaint Process

Areas of Concern Competitive bidding procedures. Concerns raised by DBE’s regarding licensing, prequalification,

subcontracting opportunities.

Procedure Document nature and details (name, facts, basis) surrounding

discrimination complaint. Notify Field Coordinator of complaint and relevant information

to launch investigation. Collaborate with Field Coordinator to resolve complaint and

circumvent escalation of complaint. Field Coordinator alert Title VI Coordinator. Title VI Coordinator Contact Information: (503) 986-3169

14

Equal Employment Opportunity (EEO) Program

Program Purpose:o Ensure equal employment opportunity to all

individuals regardless of: race, religion, gender, national origin, age, disability.

o Investigate allegations of discrimination.

o 23 CFR Part 230

o Educate contractors of what constitutes Good Faith Efforts for compliance.

15

EEO Requirements

Contained in and apply to all federal-aid contracts & subcontracts valued $10,000 or more.

– FHWA 1273, Required Contract Provisions Federal-Aid Construction Contracts– Supplemental Required Contract Provisions; On-Site Workforce, EEO Provisions, EEO

Aspirational Target Provisions, Affirmative Action Requirements for Women and Minorities.

EEO Reports & EEO Postings– Applicable to Prime Contractors and Subcontractors working on federal-aid projects.

EEO Compliance Reviews– Projects selected based on dollar value, geographic location, training requirements in

contract, and/or past compliance problems.– On-site visit to audit recruitment, hiring, and training practices.– Employee interviews at the project site.– Determination of compliance measured by contractor’s affirmative actions described in

FHWA 1273.– Compliance or non-compliance notification within 30 days.

16

EEO Requirements

EEO Program – Posting Requirements Equal Employment Opportunity is THE LAW

This poster is available in both English and Spanish versions.

Poster needs to be up at the job site accessible to employees.

Inspectors should routinely check the poster is up at the beginning of projects.

Contained in and applies to all federal-aid contracts and subcontracts valued $10,000 or more.

17

EEO “It’s the LAW”-poster

Find this poster at: http://www1.eeoc.gov/employers/poster.cfm

18

EEO Requirements

Annual EEO Report

Each July, Contracts and Subcontracts in the amount of $10,000 or more shall submit the Form PR-1391 found at: http://www.oregon.gov/ODOT/CS/CIVILRIGHTS/forms.shtml

This notice is sent to the appropriate contractors by ODOT Office of Civil Rights.

Form must be sent to OCR in electronic format by specified date in August.

The data collected is reported to FHWA.

19

EEO Requirements

20

EEO Requirements

Electronic Monthly Employment Utilization Reports (EMEUR)

Required for all contractors and subcontractors to monitor both EEO and OJT/apprenticeship compliance.

Data used for compliance and reporting to FHWA, Governor’s Office, Legislature, and stakeholders, etc.

21

Forms

Forms and instructions found at OCR website:Forms and instructions found at OCR website: http://www.oregon.gov/ODOT/CS/CIVILRIGHTS/forms.shtmlhttp://www.oregon.gov/ODOT/CS/CIVILRIGHTS/forms.shtml and ODOT Construction Forms website:and ODOT Construction Forms website: http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/Pages/HwyConstForms1.ashttp://www.oregon.gov/ODOT/HWY/CONSTRUCTION/Pages/HwyConstForms1.aspxpx

22

External Civil Rights Discrimination Complaints

Employees of prime contractors or subcontractors may use ODOT’s External Civil Rights Complaint Form (731-0333) to file formal discrimination complaints. Any written format is acceptable.

PM’s have 3 days to resolve complaints.

If unresolved after 3 days, the complaint must be forwarded to Civil Rights for investigation.

23

On-the-Job Training (OJT)/ Apprenticeship Program

• Program Purpose To provide opportunities for skilled workers by offering training in the

transportation construction trades. To ensure skilled workers are available as a replacement workforce by

offering training in the transportation construction trades. Use affirmative actions to recruit for those positions from diverse applicants

including women and minorities.

• Program Overview Number of hours is a bid item. On-the-Job Training (in-house training programs)

• In-House Training Contract (not project specific), adopted by contractor, approved by Agency/FHWA provides field/classroom trade specific experience under supervision of journey workers. Affirmative Action Program targeting women and minorities.

Apprenticeship• BOLI approved JATCs provide field/classroom trade specific experience

under supervision of journey workers thru BOLI registered Training Agents. Race/gender neutral for applicable ODOT contracts.

24

OJT/Apprenticeship

OJT/Apprenticeship are referenced in the special provisions of ODOT contracts:

Federal OJT Training Special Provisions (Traditional) – phasing out

Reimbursable OJT/Apprenticeship Contract Provisions (ROA) as of July 1, 2011

State Reimbursable Apprenticeship Contract Provisions

Prime Contractor is to submit a Training Program Plan at the pre-construction meeting, indicating how they intend to fill the contract requirement.

Training can be subcontracted.

25

OJT/Apprenticeship Program Forms

TRAINING PROGRAM FORM NOTE: Submit Training Program(s) to the Project Manager at the Pre-Construction Conference.

If you have assigned training requirements to your sub-contractor(s), each subcontractor shall complete and submit a separate Training Program form prior to subcontractor starting work. Prime contractor shall review, sign, and submit forms for subcontractors. (1) PRIME CONTRACTOR

(2) CONTRACT NO.

(2a) BUNDLE NO.

(3) SUBCONTRACTOR (IF APPLICABLE)

(4) PROJECT MANAGER

(5) PROJECT NAME

(6) NUMBER OF POSITIONS

(7) HOURS

APPROVAL REQUEST: Approval is requested to provide training, as required by contract, in the following areas.

(8) APPRENTICESHIP/TRAINEE CRAFT

(9) NUMBER OF TRAINEES

PROJECTED

(10) HOURLY

ASSIGNMENT PER TRAINEE

(11) TOTAL HOURS

ASSIGNED TO CRAFT

(12) BOLI

APPROVED?

(13) ESTIMATED

START DATE

YES NO*

YES NO*

YES NO*

YES NO*

YES NO*

AFFIRMATIVE ACTION -- While placement of minorities and females in on-the-job training positions on State-funded highway construction projects is not a requirement of these provisions, contractors are encouraged to make systematic and direct recruitment efforts through public and private sources which are likely to yield minorities and females available for training under this contract. This training commitment is not intended, and shall not be used, to discriminate against any applicant for training, whether a member of a minority group or not. The training and upgrading of minorities and women toward journeyperson status however is a primary objective of this training provision. Accordingly, the contractor shall make every effort to enroll minority trainees and women trainees to the extent such persons are available within a reasonable area of recruitment (documentation will be required if non-protected persons are proposed). * PROGRAMS NOT APPROVED BY BOLI – For contractors not registered as a training agent with a JATC, ODOT received approval from FHWA for standard in-house training programs that may be adopted on federal-aid projects only. The standard training programs are Carpenter Trainee, Cement Mason Trainee, Ironworker Trainee, Utility Trainee, and Construction Assistant. If none of these standard training programs are adequate, the contractor shall submit a detailed breakdown of the hours assigned to the various skills of the trade. In addition to completing the above section, the contractor must provide the following standards:

A. MINIMUM QUALIFICATIONS -- The Contractor shall establish minimum qualifications for persons entering the training program. (No employee shall be employed as a trainee in any classification in which he/she has successfully completed a training course leading to journeyperson status or in which he/she has been employed as a journeyperson).

B. WORK SKILLS -- Provide an outline of the work processes in which the trainee will receive supervised work experience and training on-the-job and the allocation of the approximate time to be spent in each major process shall be set forth in these standards.

C. TERMS OF TRAINING -- State in hours the estimated number of hours required for completion to journeyperson status -- not to exceed 1,000 hours for any one individual.

D. PROGRAM MONITORING -- State the method for recording and reporting the training completed.

E. RATIO OF TRAINEES -- The numeric ratio of trainees to journeypersons. It shall be consistent with proper supervision, training, safety and continuity of employment. The ratio language shall be specific and clear as to application in terms of job site and workforce during normal operations (considered to fall between 1:10 and 1:4).

I understand and will comply fully with the plans and specifications under which this training is being performed, and will report subsequent revisions to the training program as changes occur.

PRIME CONTRACTOR'S SIGNATURE DATE SUBCONTRACTOR'S SIGNATURE DATE

THIS AREA FOR DEPARTMENT OF TRANSPORTATION USE ONLY

APPROVED DENIED

SIGNATURE DATE

TITLE

NOTE: FHWA concurrence is required for final approval of programs not approved by BOLI.

FEDERAL HIGHWAY ADMINISTRATION CONCURRENCE

FHWA APPROVAL (IF APPLICABLE) DATE

TITLE

731-0335(5-07)

Oregon Department of Transportation

26

ODOT OJT/Apprenticeship Specifications

Reimbursable Set number of training hours to be performed on project Race and gender neutral for Apprenticeship Training Program Form Apprentice/Trainee Approval Request Form All apprentice/trainee hours count towards the goal No Good Faith Efforts evaluated for credit towards goal for

apprentices OJT In-House Training Programs require Good Faith Efforts Monthly Progress Records used for training reimbursement Incentive/Disincentive process included in specification

27

Looking Ahead…

Internal Pre-cons

Additional electronic forms – early 2014– Commercially Useful Function Report - Form 3B (CUF)

– Summary Report of Subcontractors Paid– Training Program form– Apprentice/Trainee Approval Request– Apprentice/Trainee Monthly Progress Record

28

Field Coordinator Regional Coverage Areas

29

OCR Contacts and Website

Field Coordinators:•Region 1 – David Dixon – (503) 731-4560 •Region 2 – Paul Joiner, (503) 986-2834

•Region 3 + Klamath Falls - Christie Meacham, (541) 957-3698

•Region 4 – Julie Myers – (541) 388-6065

•Region 5 + The Dalles - Feather Sams Huesties, (541) 963-1575

Program Managers:•Field & Business Support Manager, Angela Ramos, (503) 986-4353

•DBE Program Manager, Tiffany Hamilton, (503) 986-4355

•ESB Program Manager, John Downing, (503) 986-3016

•Title VI Coordinator Jessica Santiago, (503) 986-6557

Office of Civil Rights http://www.oregon.gov/ODOT/CS/CIVILRIGHTS/