Minnesota Department of Transportation (Mn/DOT) External EEO Program - Contract Compliance

Minnesota Department of Transportation (Mn/DOT) External EEO Program - Contract Compliance ANNUAL REPORT FEDERAL FISCAL YEAR (FFY) 2006 (October 1, 2005 - September 30, 2006) TITLE VII UPDATE PART I - EXTERNAL AFFIRMATIVE ACTION/EEO PROGRAM - CONTRACTOR COMPLIANCE A. ACCOMPLISHMENTS OF THE PAST YEAR 1. Major Program Developments During Federal Fiscal Year (FFY) 2006, sixteen (16) in-depth contract compliance reviews were completed by Mn/DOT s Office of Civil Rights, three (3) Contract Compliance Specialist (CCS) staff. CCS staff has retained the same geographic assignments since these assignments were redistributed in 2004 to accommodate the departure of one full-time CCS staff member. So far, the redistribution of geographic assignments has been able to meet program needs, and internal organizational changes. One of the changes the CCS staff has to face is Mn/DOT s continuing shift to the Design-Build approach to highway heavy construction. For FFY 2006, each CCS staff had to monitor a Design-Build project located in the following geographic areas: South Metro (Trunk Highway 494, in Bloomington); Southwest Metro (Trunk Highway 212, in Carver County); and Southeastern Minnesota (Trunk Highway 52, in Oronoco, Olmsted County, Mn/DOT District 6). The Trunk Highway 52 Design-Build project is a continuation of Mn/DOT first-ever Design-Build project, which runs north and south of Rochester, Minnesota. CCS staff continue to conduct project spot-checks, outreach, as well as provide project engineers and contractors technical assistance on issues related to affirmative action/equal opportunity. a. FHWA Civil Rights Training. During late August, Mn/DOT was the host of the National 2006 American Association of Highway and Transportation Officials (AASHTO) Civil Rights Conference held in Minneapolis, MN. CCS staff helped design and present this conference. Civil Rights professionals from Departments of Transportation across the United States had the opportunity to focus, learn, share best practices, explore the latest updates that will help navigate both Civil Rights (23 CFR Part 23/CFR Part 60-4/USC 140) and the Disadvantaged Business Enterprise (DBE) Program which includes Supportive Services programs as they relate to DBE goals (49 CFR Part 23), examine cases and legal challenges related to DBE s in Highway Construction, share 1

the current and future state of Title VI, Americans with Disabilities Act (ADA), Section 505 of the Rehabilitation Act, and Limited English Proficiency (LEP) strategies. Focused discussions were also held around other programs and approaches relevant to civil rights such as the best On-The-Job Training program models from around the country, tribal sovereignty as it relates to civil rights and employment, review of the status of State DOT s and AASHTO Civil Rights software development that will receive and process data required to meet federal and state needs for external civil rights and labor compliance activities. Mn/DOT s Office of Civil Rights Contract Compliance Specialist (CCS) staff was an integral part of the planning of the conference; identifying key speakers and presenters; shared responsibility for the AASHTO Conference agenda, topics, logo, and the theme The Power of Civil Rights Challenging Transportation ; prepared contracts for presenters, entertainment, vendors, food, facilities, transportation needs and other logistical details that contributed to making the Conference a great success. The AASHTO Civil Rights Conference in Minnesota was a success in terms of attendance, with a total of 318 registered participants and strong complement coming from the Federal Highway Administration (FHWA) Civil Rights Offices, state DOT s from across the U.S., United States Department of Transportation, Federal Aviation Administration (FAA), Federal Transit Administration (FTA), FRA, Metropolitan Council, Mn/DOT officials/managers/engineers/professionals, local government Equal Employment Opportunity (EEO) Contract Compliance Program Directors and Staff, County, City, private consultant EEO Contract Administration and Engineers, DBE s, private contractors, and other stakeholders. Other important Civil Rights program initiatives and services that the CCS Team provides, includes: EEO Contract Compliance Reviews (16 per this construction season) on private contractors who perform highway heavy construction on State and federally-funded projects, provide upon request, Spanish Interpretation and Translation assistance to Mn/DOT Offices or in initial EEO on-site reviews of construction projects where the inability to speak English limits certain employees communication in areas such as discrimination, sexual harassment, and unlawful wage violations. CCS staff have assisted in several investigations of wage violations and successfully resolved Spanish-speaking private contractor employee allegations/complaints, and also provided them with some civil rights protections awareness information through some basic community education. From time to time, CCS Spanish-speaking staff also assists DBE s and applicants for DBE certification who are limited English-proficient. At present, Mn/DOT s Office of Civil Rights has two CCS staff fluent in the Spanish language. The CCS staff continues to perform equal employment opportunity (EEO) outreach presentations to Community-Based Organizations that serve minorities and females, schools, youth organizations, American Indian Tribes, and Tribal Employment Rights Ordinance Offices (T.E.R.O.). For example, CCS staff attends highway preconstruction meetings for projects on or near reservation that are state or federally- 2

funded, and help the T.E.R.O. Directors in their implementation and understanding of contract language, requirements, interpretation on construction projects and help support their mission to increase the participation of American Indians in highway construction-related projects. EEO training (instruction and interpretation of Mn/DOT EEO Special Provisions for employment and contract specifications) is always in great demand. The CCS staff has provided EEO awareness training to private contractors at their Annual Employee Start-Up Company Training meetings that are held in the spring, prior to the start of the construction season. CCS staff also conducts one-on-one sessions with individual EEO officers of companies from time to time. In addition, training is included in the understanding of EEO laws, rules, procedure, legal updates, and On-the-Job Training Program implementation. Given the influx of immigrants who are increasingly becoming more visible in the highway heavy construction trades, CCS staff has also been able to assist contractors with their inquiries on immigration laws and rules, especially as they relate to recruitment, hiring, verification of identity and eligibility for employment in the United States. Training in this particular area is becoming more crucial, given the need to maintain a healthy balance between civil rights and equal employment opportunity/affirmative Action, and compliance with Department of Homeland Security rules and regulations. Mn/DOT CCS staff has been proactive in this particular area. The Mn/DOT Office of Civil Rights Contract Compliance Specialist staff has also seen an increase in requests for their consultation in the area of Management Policy Analysis, development, and review. For instance, CCS staff input has been key to identifying any adverse impact on protected class members, advice on Limited English Proficiency issues, implementation of Title VI, and Environmental Justice program dissemination and implementation, Agency Title II Transition Plan development, data privacy laws, disability laws, road safety public announcements, citizen programs for LEP, violence in the workplace, appropriate workplace behavior policies, No-Guns on Premises rule and how they affect minorities and females on work sites, as well as American Indians on projects on or near reservations, and diversity programs. The evolution of a greater demand for the expertise and services to be provided by Mn/DOT s CCS Team is a welcome challenge for its Civil Rights professionals b. Interstate Networking, EEO Best Practices-Sharing and Contract Compliance Staff Training. CCS Staff provided two presentations at the American Association Highway and Transportation Officials (AASHTO), Civil Rights Conference, held on August 21-23, 2006, in Minnesota. The first session was titled On-The-Job Training. This workshop focused on the best practices of several on-the-job training programs and initiatives from around the country. Participants were encouraged 3

to share their own best practices with the group. A second workshop provided an opportunity to learn more about Civil Rights Software. This session allowed State DOTs and AASHTO to work together via AASHTO s Joint Development process to develop and implement a comprehensive software system that will receive and process the data required to meet federal and state requirements for external civil rights and labor compliance activities. This session discussed functionality, methodology, timelines and current status for the completion of the Civil Rights and Labor Management (CRLMS) software module. Mn/DOT CCS staff was responsible for bringing in a private consultant/trainer from Chicago who provided his services free of charge at the AASHTO Conference, to facilitate a session on advanced investigative techniques. The methodology/investigative techniques shared with the participants (mostly civil rights and EEO/Affirmative Action practitioners, including Contract Compliance Specialists) have been developed over a period of 50 years by this Chicago-based consulting firm. The knowledge gleaned from this particular session on investigative techniques will prove very helpful to CCS Staff as they handle complex investigations in the future, including such issues as sexual harassment; race, gender, national origin discrimination; alleged violations of Mn/DOT s policy on workplace behavior, and similar situations. The firm counts among its satisfied clients public and private entities including the FBI and other law enforcement agencies, the Pentagon, and the Central Intelligence Agency (CIA). Major program developments, specifically as they relate to External Training Programs, will be discussed in greater detail in the External Training Programs, Including Supportive Services section of this Annual Report. The Mn/DOT EEO Contract Compliance staff is comprised of three (3) Contract Compliance Specialists, and is each assigned geographically to cover all of Mn/DOT s nine (9) Engineering Districts. Mn/DOT EEO Contract Compliance Specialists continue to conduct extensive affirmative action outreach among community organizations, job developers, technical colleges, unions, and other inter-governmental agencies to achieve the goal to maximize participation of women and minorities in highway construction jobs. In summary, major developments in the contract compliance program were made possible through the CCS staff's continued utilization of organizational linkages, strategic planning, program design activities, and continued partnership with the private sector, especially with highway heavy contractors. 2. Contract Compliance Activity 4

a. Number of reviews conducted - 16. b. Individual contractors reviewed included 13 prime contractors and 128 subcontractors. c. Contractors found in compliance - 16. d. Contractors found in noncompliance - 0. e. Show Cause Notices issued 0. f. Show Cause Notices rescinded 0. g. Show Cause Notices still unresolved 0. h. Number of Voluntary and Corrective Action Plans Accepted 4. Note: A Voluntary Corrective Action Plan (V.C.A.P.) developed by a contractor (with technical assistance provided by Mn/DOT s CCS staff) may be submitted prior to the final determination of compliance or non-compliance. Submission of an acceptable V.C.A.P. by the contractor normally averts an adverse finding. The CCS then monitors the implementation of the V.C.A.P. for a period of one year, and if needed, a follow up compliance review may be conducted. 3. Contract Sanctions There were no contract sanctions imposed on any federal aid project in FFY 2006. 4. Investigations There were no Title VII-related complaints investigated by the CCS staff as of September 30, 2006. However, CCS staff provided investigative assistance as well as translation and interpreting assistance to Mn/DOT s Labor Compliance Unit. The Labor Compliance Unit has conducted several in-depth investigations into prevailing wage and other labor violations allegedly committed by a landscaping contractors. The complainants were Spanish-speaking landscape workers faced with significant language barriers. Assistance of the CCS staff was crucial in bringing the complaints to successful outcomes. 5. External Training Programs Including Support Service. 5

Road Opportunities and Diversity Services (R.O.A.D.S.) Program During FFY 2004, CCS staff designed a support service program to succeed the P.I.E. (Placement Incentive Experiment) Project that was administered for two years by the Minnesota Workforce Center. There was a need to develop a support services program that was more cost effective. The R.O.A.D.S. program design included Mn/DOT Office of Civil Rights and community-based organizations as the key stakeholders. The Plan called for Mn/DOT to oversee the operations of the support services project. In addition, contractors and unions who were active supporters of the predecessor program (P.I.E.) were to be included as partners. As R.O.A.D.S. was an untested program design, a more detailed study of community-based organizations capacities was conducted. Such a study was warranted as the ultimate success of this support services endeavor depended mainly on community-based organizations capacity to recruit, screen, orient, and monitor only the best qualified prospects for highway heavy employment. Extensive consultation sessions were held with community-based organizations that were identified as possible R.O.A.D.S. participants. The R.O.A.D.S. program design and was re-tooled and fine-tuned during FFY 2005. Stricter screening criteria were built into the program plan and CBO s were required to develop and submit work plans and action plans to complement the overall R.O.A.D.S. program framework. Additionally, more attractive financial incentives were built into the R.O.A.D.S. framework for the actual placement of applicants in highway heavy construction trades and applicants completion of work hours on a highway construction project. As in FFY 2005, a networking meeting was sponsored by Mn/DOT s Office of Civil Rights to bring participating CBO s and construction contractors to the table. CBO s and contractors were re-oriented to the mission and expectations of the R.O.A.D.S. Program for FFY 2006. As of September 30, 2006, a total of seventy (70) women and minorities have been recruited and screened for possible placement in highway heavy construction trades. Of the total of seventy (70) women and minorities recruited and screened, thirty two (32) are still actively seeking work. An evaluation of R.O.A.D.S. performance will be conducted shortly after the end of the 2006 highway construction season (on or about November 15, 2006). To date, (16) applicant referrals have been hired in Highway Heavy Construction positions. Employment Supportive Services for American Indians. 6

In FFY 2006, CCS staff provided technical assistance to a prime contractor who worked on two projects that were subject to Indian Preference in Employment. One of the projects was located right on sovereignty territory of the White Earth Indian Reservation was therefore subject to all the requirements under White Earth s Tribal Employment Rights Ordinance, including assignments of all workers (except core crew ) to be coursed through the T.E.R.O. Office, as well as the payment of a 5% T.E.R.O. on the dollar value of the project. CCS staff attended the pre-construction conference for the two projects, and facilitated communication between Mn/DOT highway staff, prime contractors, subcontractors, and the White Earth T.E.R.O, for purposes of compliance with the Indian Preference and T.E.R.O. requirements as they applied to the two contracts. An in-depth contract compliance reviews were conducted on the two projects on and near White Earth Reservation, and the prime contractor has been properly advised as regards to its compliance status. CCS staff will continue to monitor other projects on or near Indian reservations under a Memorandum of Understanding between Mn/DOT and six (6) T.E.R.O. Programs, mostly located in Central and Northern Minnesota. As part of its commitment to building positive and productive relationships with Minnesota Indian Tribes, Mn/DOT s Office of Civil Rights will again participate and provide valuable information at the Annual Tribes and Transportation Summit to be held on October 17-18, 2006 in Walker, Minnesota. On-The-Job Training Program (OJT). Mn/DOT's calendar year OJT goal was 70 positions. As of September 30, 2006, with ninety-two (92) days remaining in the calendar year, Mn/DOT has filled sixty-four (64 ) positions. OJT goals on selected federal-aid projects are assigned, based on a number of factors including a) project size/dollar amount, b) number of working days, c) type of project, and d) location. The rate of success in terms of placement of OJT trainees on any federally-funded project with OJT goals are dependent upon a number of factors, such as: location of the project, nature of the work, availability of qualified OJT s, OJT s willingness to travel, and time of year in which a particular project was let. Normally, a project let and awarded prior to the start of the construction season gives both the contractor and employment referral sources, including CBO s, enough time to attend to the many details related to placement, and this includes sufficient time to recruit and advertise open positions, more opportunity on the part of the CBO to recruit, orient, and properly train an applicant prior to placement. Mn/DOT s On-The-Job Training (OJT) Program is the full-time responsibility of three Contract Compliance Specialists who review and approve all OJT Training plans, training hours, trainee assignments, assist smaller contractors with developing 7

OJT plans, and monitor trainee work hours, graduation/completion, and other issues involving trainees. Other issues involving trainees may include discrimination and/or harassment complaints. CCS staff continues to provide ongoing training on AA/EEO requirements to contractors, Mn/DOT highway personnel, county, city, municipal engineering staff, intergovernmental agencies, community-based organizations, and other stakeholders. A breakdown of OJT trainees by race (minority/non-minority), gender, and trade follows on Page 8 of this Report. 8

*DATA ON TRAINEES FROM OCTOBER 1, 2005 THROUGH SEPTEMBER 30, 2006 (FFY 2006) OJT PROGRAM NUMBER OF TRAINEES JOB CATEGORIES NON-MINORITY MINORITY CRAFT Male Female Male Female CARPENTER 0 0 4 0 CEMENT MASON 0 1 1 0 ELECTRICIAN 0 0 0 0 IRON WORKER 0 0 2 0 LABORER 0 4 19 0 MECHANIC 0 0 0 0 OPERATING ENGINEER 4 13 8 3 PILE DRIVER 0 0 0 0 PIPELAYER 0 0 0 0 TRUCK DRIVER 0 2 3 0 OTHER TRADES 0 0 0 0 TOTALS 4 20 37 3 Tabulation based upon Federal Fiscal Year 2006 Total trainees as of 9/30/06 = 64. Total Minorities = 40 Total Females = 23 9