Connecticut Department of Transportation

CONNECTICUT DEPARTMENT OF TRANSPORTATION
Office of the Commissioner

WELCOME TO THE OFFICE OF EQUITY

CONTRACTOR COMPLIANCE

The Connecticut Department of Transportation (CTDOT) is required to ensure that all contractors, subcontractors, vendors and material suppliers do not discriminate in employment and contracting. The Federal Highway Administration (FHWA) has specific Required Contract Provisions (FHWA-1273) which are applicable to all contractors and subcontractors who hold Federal or Federal-aid contracts of $10,000 or more.   

CTDOT administers its Contractor Compliance Program in accordance with Title 23, Code of Federal Regulations, Highways, Part 230 and the CTDOT Contract Compliance Program.

What is a Contract Compliance Review?

Contractor Compliance Reviews are performed on CTDOT projects in order to monitor the utilization of minorities and females on Connecticut Department of Transportation (CTDOT) projects. These are comprehensive reviews conducted to determine a contractor’s compliance with the Equal Employment Opportunity and Equal Opportunity requirements of the contract. The Department also monitors DBE participation and SBE participation as well as the On-the-Job Training requirements if applicable. 

Who is selected for Contract Compliance Review?

  • Contractors performing work on multiple or large volume contracts
  • Contracts located in areas with high minority and female labor forces
  • Contractors who have had compliance issues
  • Projects with the greatest potential for employment and contracting opportunities
  • Projects with Training Provisions
  • Contractors who fail to cooperate with the request for compliance documents

There are two types of reviews performed by CTDOT: Annual Site Record Reviews and Contract Compliance Reviews.

The Annual Site Record Reviews:

  • Annual Site Record Reviews are performed by the Office of Construction’s District Equal Opportunity Liaison (EO Liaison). 
  • The reviews are performed during the early peak employment periods of the contract. 
  • The Prime contractor is sent an Annual Site Record Review Packet. 
  • Compliance information is required of the prime contractor and all subcontractors working on the project.   
  • This information is to be submitted by the prime contractor to the District EO Liaison. 
  • A review meeting is held with the contractor and conducted by the District EO Liaison. 
  • The Office of Equity is notified of the review and invited to attend.

Contract Compliance Reviews:

The review process is used to determine whether firms performing work on CTDOT contracts are in compliance with the required Equal Opportunity and Equal Employment Opportunity requirements of the contract. The review process consists of the following components: Planning, Preliminary Analysis, On-site Verification, Compliance Determination and where necessary, Corrective Action.

How do I make a good-faith effort to stay in Compliance?

A contractor is considered to have met its Equal Opportunity and Equal Employment Opportunity Program obligations if there is adequate documented evidence that it made every good-faith effort. If there is evidence of discrimination or a failure to provide Equal Opportunity, the contractor will submit a Corrective Action Plan. If there is not a good-faith effort; evidence of discrimination; or a failure to provide Equal Opportunity, the contractor will submit a Corrective Action Plan.  The following criteria will be considered in determining if a firm has made a good-faith effort:

  • Contractor’s EEO Policy
  • Dissemination of the EEO Policy
  • Authority and Responsibility of EEO Officer
  • Periodic EEO meetings
  • Notices/poster on the bulletin board including “EEO Is the Law”
  • Advertising as “An Equal Employment Opportunity Employer”
  • Recruitment (direct recruitment efforts with sources likely to yield minorities and women)
  • Educate all supervisors within 30 days of the firm’s affirmative action obligations
  • Encourage present employees to refer women and minorities
  • Evaluate wages to determine if discrimination exists
  • Investigation of all complaints
  • Assist in locating, qualifying and increasing the skills of minorities and women
  • Uses training programs and advises employees and applicants of opportunities
  • Minorities and women exist in contractor’s training program
  • Ensure non-segregated facilities
  • Minorities and women are employed in all occupations, crafts and job classifications on an equal basis
  • Procedures establishing the monitoring of subcontractors’ compliance with nondiscrimination, EO and EEO procedures
  • Adequate records and reports
  • Minorities and women reach accumulating work hours expected based on their representation
  • Written notices have been sent to unions (contractors’ signatory to union agreements are required to use their best efforts to incorporate an EEO clause into each union agreement pursuant to 23 CFR 2320, Subpart A, Appendix A). The contractors shall notify the union(s) of their commitment to EEO
  • The EEO officer representing the contractor understands their role and responsibilities
  • The EEO clauses are included in purchase orders, subcontracts, and collective bargaining agreements

 

FHWA 1391 FORMS

Prime Contractor Reporting Requirements

 Equal Employment Opportunity Compliance Review (EEOCR)

FHWA 1391 Cover Letter 

 Contractor Reporting for ALL Projects – Cover Letter Compliance Review Instructions
Instructions for Submitting FORM 1391 Contractor Reporting for ALL Projects – Workforce Utilization Sheet Desk Audit Information
Municipal Contractor’s Instructions for Submitting Form 1391 Contractor Reporting for ALL Projects – OJT Sheet EEO Referral Sources
Race and Ethnic Identification Definitions  

Employment Data - Total Workforce Template
FHWA 1391 Form   Contract Worksheet
FHWA 1391 Active Projects July 2023   OJT Form
 1391 Active Municipal Projects July 2023   Discrimination Complaint Report

   

For more information, contact:

Jessica Gorneault
Jessica.Gorneault@ct.gov