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| **State Transportation Agency (STA) Responsibilities**   |   |   |   |
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| A. IMPLEMENTATION AND ADMINISTRATION                     | * | * | * |
|                                                          | * | * | * |
|                                                          | Y | N | ? |
|                                                          | e | o | * |
|                                                          | s | * | * |
|                                                          | * | * |   |
|                                                          | * |   |   |
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| 1\. Are you aware of the State Transportation Agency's   |   |   |   |
| (STA) Equal Employment Opportunity (EEO) Assurance       |   |   |   |
| requirements? Federal-Aid Highway Act of 1968, Section   |   |   |   |
| 22 (a) 23 USC 140 (a)                                    |   |   |   |
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| 2\. Does the STA have an Equal Opportunity (EO) program  |   |   |   |
| in place that implements all of the required Federal EO  |   |   |   |
| provisions on Federal-aid contracts including preparing  |   |   |   |
| and submitting required reports? 23 CFR 230, Subpart A,  |   |   |   |
| Appendix A and B                                         |   |   |   |
+----------------------------------------------------------+---+---+---+
| 3\. Does the STA's EO Contractor Compliance Program      |   |   |   |
| include policies and procedures to determine whether all |   |   |   |
| participants performing on federal-aid contracts are     |   |   |   |
| complying with their EO/EEO contract obligations? 23 CFR |   |   |   |
| 230, Subpart D                                           |   |   |   |
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| 4\. Does the STA have the organizational structure       |   |   |   |
| including the appointment of an EO Coordinator and staff |   |   |   |
| resources and support, (i.e., field project personnel,   |   |   |   |
| district and division personnel, etc.) to implement a    |   |   |   |
| standardized approach for administering the Contractor   |   |   |   |
| Compliance Program?                                      |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.311, Appendix A to Subpart C, Part I     |   |   |   |
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| 5\. Does the STA prepare and submit an updated EO/EEO    |   |   |   |
| program to FHWA for approval?                            |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.311 (a)(2) and 23 CFR Part 230.313       |   |   |   |
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| 6\. Does the annual EO/EEO Update include a Contractor   |   |   |   |
| Compliance accomplishment report that contains the       |   |   |   |
| requirements of Appendix A to Subpart C? 23 CFR 230      |   |   |   |
| Appendix A to Subpart C                                  |   |   |   |
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| 7\. Does the STA's Contractor Compliance Program include |   |   |   |
| procedures for handling discrimination complaints filed  |   |   |   |
| against contractors? 23 CFR Part 230, Appendix A to      |   |   |   |
| Subpart C, Part I, Item #VI-Complaints                   |   |   |   |
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| 8\. Does the STA submit PR-1392 reports to FHWA? 23 CFR  |   |   |   |
| Part 230.121                                             |   |   |   |
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| 9\. Does the STA have a systematic approach to ensure    |   |   |   |
| that the FHWA 1273 and EO/EEO contract provisions are    |   |   |   |
| physically incorporated into each federal-aid contract   |   |   |   |
| and subcontract \$10,000 or more?                        |   |   |   |
|                                                          |   |   |   |
| *(Consideration: The contract provisions should be       |   |   |   |
| incorporated in construction and non-construction        |   |   |   |
| contracts)* 23 CFR Part 230, Subpart A, Appendix A and   |   |   |   |
| B, FHWA-1273 and 23 CFR 633                              |   |   |   |
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| 10\. Are you aware the STA has no enforcement authority  |   |   |   |
| to determine compliance of the contractor's EEO program  |   |   |   |
| under EO 11246? FHWA Order 4710.8                        |   |   |   |
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| 11\. Does the STA have a method to notify OFCCP of       |   |   |   |
| contract compliance issues with EO 11246? FHWA Order     |   |   |   |
| 4710.8                                                   |   |   |   |
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| 12\. Does the STA have collection, tracking and/or       |   |   |   |
| reporting systems in place to monitor and evaluate the   |   |   |   |
| employment and training efforts of the contractor? 23    |   |   |   |
| CFR Part 230.121                                         |   |   |   |
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| **B. ON THE JOB TRAINING (OJT) /**                       | # | # | * |
|                                                          | # | # | * |
| **TRAINING SPECIAL PROVISIONS (TSP)**                    |   |   | ? |
|                                                          | Y | N | * |
|                                                          | e | o | * |
|                                                          | s |   |   |
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| 1\. Does the STA's Contractor Compliance Program         |   |   |   |
| describe a systematic approach to establish annual       |   |   |   |
| training goals and project specific OJT goals on         |   |   |   |
| selected federal aid highway projects? 23 CFR Part       |   |   |   |
| 230.111 (a)                                              |   |   |   |
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| 2\. Has the STA developed processes and procedures to    |   |   |   |
| implement and meet the standards of the                  |   |   |   |
|                                                          |   |   |   |
| "Training Special Provision" (TSP) on selected           |   |   |   |
| federal-aid highway projects?                            |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230, Appendix B to Subpart A, and 23 CFR     |   |   |   |
| Part 230.111 (a)                                         |   |   |   |
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| 3\. Does the STA have processes in place to monitor the  |   |   |   |
| TSP goal attainment on selected federal-aid              |   |   |   |
|                                                          |   |   |   |
| highway projects? 23 CFR Part 230.111 (b)                |   |   |   |
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| 4\. Does the STA inform FHWA on its ability/inability    |   |   |   |
| for meeting its annual training goals?                   |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.111 (b)                                  |   |   |   |
|                                                          |   |   |   |
| *(Consideration: The Headquarters FHWA Office no longer  |   |   |   |
| establish and publish annual suggested training goals,   |   |   |   |
| and the STA no longer reports its goal attainment to     |   |   |   |
| Headquarters; however the STA should be setting annual   |   |   |   |
| goals and reporting its accomplishments and annual goals |   |   |   |
| to the FHWA Division Office)*                            |   |   |   |
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| 5\. Has the STA developed guidelines to select projects  |   |   |   |
| and determine how the number of trainees/apprentices     |   |   |   |
| will be assigned? 23 CFR Part 230.111 (c) (1-10)         |   |   |   |
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| 6\. Does the STA submit its training programs to FHWA    |   |   |   |
| with a recommendation for approval?                      |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.111 (d) (1-6) and (e)(1)                 |   |   |   |
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| 7 Does the STA ensure contractors use approved           |   |   |   |
| training/apprenticeship programs, as well as, evaluate   |   |   |   |
| the                                                      |   |   |   |
|                                                          |   |   |   |
| programs to ensure the contractors use programs that are |   |   |   |
| designed to reach full journey level?                    |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.111 (f)(1)(2)                            |   |   |   |
|                                                          |   |   |   |
| *(Consideration: Apprenticeship programs approved by     |   |   |   |
| U.S. Department of Labor does need formally*             |   |   |   |
|                                                          |   |   |   |
| *approval by STA or FHWA, but the STA need to ensure     |   |   |   |
| they meet the EEO obligations of the contractor.)*       |   |   |   |
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| **C. EO CONTRACT COMPLIANCE PROCEDURES**                 | # | # | * |
|                                                          | # | # | * |
|                                                          |   |   | ? |
|                                                          | Y | N | * |
|                                                          | E | O | * |
|                                                          | S |   |   |
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| 1\. Does the STA contract compliance program incorporate |   |   |   |
| the specific procedures outlined in federal requirements |   |   |   |
| under 23 CFR 230 Subpart D? 23 CFR Part 230.409          |   |   |   |
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| 2\. Does the STA have procedures for scheduling EO       |   |   |   |
| Compliance reviews? 23 CFR Part 230.409 (b)              |   |   |   |
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| 3\. Does the STA have procedure(s) in place to notify    |   |   |   |
| contractors of pending compliance reviews?               |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.409 (c)                                  |   |   |   |
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| 4\. Does the STA conduct a preliminary analysis of the   |   |   |   |
| contractor's information before conducting the           |   |   |   |
| compliance review? 23 CFR Part 230.409 (d)               |   |   |   |
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| 5\. Does the STA have procedure(s) in place to conduct   |   |   |   |
| onsite verification and interviews?                      |   |   |   |
|                                                          |   |   |   |
| 23 CFR Part 230.409 (e)                                  |   |   |   |
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| 6\. Does the STA have procedure(s) in place to conduct   |   |   |   |
| exit conferences? 23 CFR Part 230.409 (f)                |   |   |   |
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| 7\. Does the STA have procedures in place to determine   |   |   |   |
| whether or not a contractor is in compliance with its    |   |   |   |
| EO/EEO contractual requirements? 23 CFR Part 230.409 (g) |   |   |   |
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| 8\. Does the STA have methods to determine the           |   |   |   |
| contractor's good faith efforts and reasonable steps     |   |   |   |
| taken to achieve his/her EO/EEO contractual              |   |   |   |
| requirements? 23 CFR Part 230.409 (g)                    |   |   |   |
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| **C. EO CONTRACT COMPLIANCE PROCEDURES (cont'd)**      | # | #  | * |
|                                                        | # | #  | * |
|                                                        |   | NO | ? |
|                                                        | Y |    | * |
|                                                        | E |    | * |
|                                                        | S |    |   |
+--------------------------------------------------------+---+----+---+
| 9\. Does the STA have procedures in place for          |   |    |   |
| enforcing noncompliance findings? 23 CFR Part 230.409  |   |    |   |
| (h)                                                    |   |    |   |
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| 10\. Does the STA have procedures in place to          |   |    |   |
| follow-up on contractors found in non-compliance?      |   |    |   |
|                                                        |   |    |   |
| 23 CFR Part 230.409 (i)                                |   |    |   |
+--------------------------------------------------------+---+----+---+
| 11\. During a contract compliance review, does the STA |   |    |   |
| evaluate the contractor/subcontractor's OJT and TSP    |   |    |   |
| *(special provisions)* obligations to assure EEO and   |   |    |   |
| nondiscrimination?                                     |   |    |   |
|                                                        |   |    |   |
| 23 CFR Part 230, Appendix A and B to Subpart A and     |   |    |   |
| Subpart D-230.409 (g)                                  |   |    |   |
+--------------------------------------------------------+---+----+---+
| 12\. Does the STA develop comprehensive compliance     |   |    |   |
| review reports that support their finding of the       |   |    |   |
| contractors/subcontractor's compliance determination?  |   |    |   |
| 23 CFR Part 230.413 (a) (1-7)                          |   |    |   |
+--------------------------------------------------------+---+----+---+
| 13\. Does the STA submit compliance review reports to  |   |    |   |
| the FHWA Division EEO Specialist for                   |   |    |   |
|                                                        |   |    |   |
| concurrence and approval? 23 CFR Part 230.413(a)(1-7)  |   |    |   |
| and (b)                                                |   |    |   |
|                                                        |   |    |   |
| (*Consideration: For STA conducted reviews, the        |   |    |   |
| Compliance Specialist should prepare the review report |   |    |   |
| within 15 days from the completion of the onsite and   |   |    |   |
| exit conference and submit it to the FHWA Division for |   |    |   |
| approval concurrence)*                                 |   |    |   |
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| 14\. Does the STA initiate its own contract            |   |    |   |
| administrative actions and legal proceedings, under    |   |    |   |
| State/Federal law, to achieve EO/EEO on federal-aid    |   |    |   |
| highway projects?                                      |   |    |   |
|                                                        |   |    |   |
| STA Equal Opportunity Assurances , Item #4             |   |    |   |
+--------------------------------------------------------+---+----+---+
| 15\. Are you aware that the STA's failure to discharge |   |    |   |
| its responsibilities under the contractor compliance   |   |    |   |
| program can result in the withholding or removal of    |   |    |   |
| federal funds? 23 CFR 1.36                             |   |    |   |
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| 16\. Does the STA conduct compliance reviews of        |   |    |   |
| subcontractors and material suppliers?                 |   |    |   |
|                                                        |   |    |   |
| FHWA 1273, 23 CFR 633, and 23 CFR 230. 407 (i) and     |   |    |   |
| 230.409 9(c)(4)                                        |   |    |   |
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