Appendix A to Subpart A of Part 230 - Special Provisions
23:1.0.1.3.8.1.1.12.2 : Appendix A
Appendix A to Subpart A of Part 230 - Special Provisions specific
equal employment opportunity responsibilities
1. General. a. Equal employment opportunity requirements
not to discriminate and to take affirmative action to assure equal
employment opportunity as required by Executive Order 11246 and
Executive Order 11375 are set forth in Required Contract,
Provisions (Form PR-1273 or 1316, as appropriate) and these Special
Provisions which are imposed pursuant to section 140 of title 23
U.S.C., as established by section 22 of the Federal-Aid Highway Act
of 1968. The requirements set forth in these Special Provisions
shall constitute the specific affirmative action requirements for
project activities under this contract and supplement the equal
employment opportunity requirements set forth in the Required
Contract Provisions.
b. The contractor will work with the State highway agencies and
the Federal Government in carrying out equal employment opportunity
obligations and in their review of his/her activities under the
contract.
c. The contractor and all his/her subcontractors holding
subcontracts not including material suppliers, of $10,000 or more,
will comply with the following minimum specific requirement
activities of equal employment opportunity: (The equal employment
opportunity requirements of Executive Order 11246, as set forth in
volume 6, chapter 4, section 1, subsection 1 of the Federal-Aid
Highway Program Manual, are applicable to material suppliers as
well as contractors and subcontractors.) The contractor will
include these requirements in every subcontract of $10,000 or more
with such modification of language as is necessary to make them
binding on the subcontractor.
2. Equal Employment Opportunity Policy. The contractor
will accept as his operating policy the following statement which
is designed to further the provision of equal employment
opportunity to all persons without regard to their race, color,
religion, sex, or national origin, and to promote the full
realization of equal employment opportunity through a positive
continuing program:
It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employment, without
regard to their race, religion, sex, color, or national origin.
Such action shall include: employment, upgrading, demotion, or
transfer; recruitment or recruitment advertising; layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship,
preapprenticeship, and/or on-the-job training.
3. Equal Employment Opportunity Officer. The contractor
will designate and make known to the State highway agency
contracting officers and equal employment opportunity officer
(hereinafter referred to as the EEO Officer) who will have the
responsibility for and must be capable of effectively administering
and promoting an active contractor program of equal employment
opportunity and who must be assigned adequate authority and
responsibility to do so.
4. Dissemination of Policy. a. All members of the
contractor's staff who are authorized to hire, supervise, promote,
and discharge employees, or who recommend such action, or who are
substantially involved in such action, will be made fully cognizant
of, and will implement, the contractor's equal employment
opportunity policy and contractual responsibilities to provide
equal employment opportunity in each grade and classification of
employment. To ensure that the above agreement will be met, the
following actions will be taken as a minimum:
(1) Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then not
less often than once every six months, at which time the
contractor's equal employment opportunity policy and its
implementation will be reviewed and explained. The meetings will be
conducted by the EEO Officer or other knowledgeable company
official.
(2) All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer or other
knowledgeable company official, covering all major aspects of the
contractor's equal employment opportunity obligations within thirty
days following their reporting for duty with the contractor.
(3) All personnel who are engaged in direct recruitment for the
project will be instructed by the EEO Officer or appropriate
company official in the contractor's procedures for locating and
hiring minority group employees.
b. In order to make the contractor's equal employment
opportunity policy known to all employees, prospective employees
and potential sources of employees, i.e., schools,
employment agencies, labor unions (where appropriate), college
placement officers, etc., the contractor will take the following
actions:
(1) Notices and posters setting forth the contractor's equal
employment opportunity policy will be placed in areas readily
accessible to employees, applicants for employment and potential
employees.
(2) The contractor's equal employment opportunity policy and the
procedures to implement such policy will be brought to the
attention of employees by means of meetings, employee handbooks, or
other appropriate means.
5. Recruitment. a. When advertising for employees, the
contractor will include in all advertisements for employees the
notation: “An Equal Opportunity Employer.” All such advertisements
will be published in newspapers or other publications having a
large circulation among minority groups in the area from which the
project work force would normally be derived.
b. The contractor will, unless precluded by a valid bargaining
agreement, conduct systematic and direct recruitment through public
and private employee referral sources likely to yield qualified
minority group applicants, including, but not limited to, State
employment agencies, schools, colleges and minority group
organizations. To meet this requirement, the contractor will,
through his EEO Officer, identify sources of potential minority
group employees, and establish with such identified sources
procedures whereby minority group applicants may be referred to the
contractor for employment consideration.
In the event the contractor has a valid bargaining agreement
providing for exclusive hiring hall referrals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the contractor's compliance with equal employment
opportunity contract provisions. (The U.S. Department of Labor has
held that where implementation of such agreements have the effect
of discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates Executive
Order 11246, as amended.)
c. The contractor will encourage his present employees to refer
minority group applicants for employment by posting appropriate
notices or bulletins in areas accessible to all such employees. In
addition, information and procedures with regard to referring
minority group applicants will be discussed with employees.
6. Personnel Actions. Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, or national
origin. The following procedures shall be followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities do
not indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread of wages
paid within each classification to determine any evidence of
discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corrective action within a
reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant, such
corrective action shall include such other persons. Upon completion
of each investigation, the contractor will inform every complainant
of all of his avenues of appeal.
7. Training and Promotion. a. The contractor will assist
in locating, qualifying, and increasing the skills of minority
group and women employees, and applicants for employment.
b. Consistent with the contractor's work force requirements and
as permissible under Federal and State regulations, the contractor
shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. Where feasible, 25
percent of apprentices or trainees in each occupation shall be in
their first year of apprenticeship or training. In the event the
Training Special Provision is provided under this contract, this
subparagraph will be superseded as indicated in Attachment 2.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance requirements
for each.
d. The contractor will periodically review the training and
promotion potential of minority group and women employees and will
encourage eligible employees to apply for such training and
promotion.
8. Unions. If the contractor relies in whole or in part
upon unions as a source of employees, the contractor will use
his/her best efforts to obtain the cooperation of such unions to
increase opportunities for minority groups and women within the
unions, and to effect referrals by such unions of minority and
female employees. Actions by the contractor either directly or
through a contractor's association acting as agent will include the
procedures set forth below:
a. The contractor will use best efforts to develop, in
cooperation with the unions, joint training programs aimed toward
qualifying more minority group members and women for membership in
the unions and increasing the skills of minority group employees
and women so that they may qualify for higher paying
employment.
b. The contractor will use best efforts to incorporate an equal
employment opportunity clause into each union agreement to the end
that such union will be contractually bound to refer applicants
without regard to their race, color, religion, sex, or national
origin.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the extent
such information is within the exclusive possession of the labor
union and such labor union refuses to furnish such information to
the contractor, the contractor shall so certify to the State
highway department and shall set forth what efforts have been made
to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable flow of minority and women referrals within the
time limit set forth in the collective bargaining agreement, the
contractor will, through independent recruitment efforts, fill the
employment vacancies without regard to race, color, religion, sex,
or national origin; making full efforts to obtain qualified and/or
qualifiable minority group persons and women. (The U.S. Department
of Labor has held that it shall be no excuse that the union with
which the contractor has a collective bargaining agreement
providing for exclusive referral failed to refer minority
employees.) In the event the union referral practice prevents the
contractor from meeting the obligations pursuant to Executive Order
11246, as amended, and these special provisions, such contractor
shall immediately notify the State highway agency.
9. Subcontracting. a. The contractor will use his best
efforts to solicit bids from and to utilize minority group
subcontractors or subcontractors with meaningful minority group and
female representation among their employees. Contractors shall
obtain lists of minority-owned construction firms from State
highway agency personnel.
b. The contractor will use his best efforts to ensure
subcontractor compliance with their equal employment opportunity
obligations.
10. Records and Reports. a. The contractor will keep such
records as are necessary to determine compliance with the
contractor's equal employment opportunity obligations. The records
kept by the contractor will be designed to indicate:
(1) The number of minority and nonminority group members and
women employed in each work classification on the project.
(2) The progress and efforts being made in cooperation with
unions to increase employment opportunities for minorities and
women (applicable only to contractors who rely in whole or in part
on unions as a source of their work force),
(3) The progress and efforts being made in locating, hiring,
training, qualifying, and upgrading minority and female employees,
and
(4) The progress and efforts being made in securing the services
of minority group subcontractors or subcontractors with meaningful
minority and female representation among their employees.
b. All such records must be retained for a period of three years
following completion of the contract work and shall be available at
reasonable times and places for inspection by authorized
representatives of the State highway agency and the Federal Highway
Administration.
c. The contractors will submit an annual report to the State
highway agency each July for the duration of the project,
indicating the number of minority, women, and non-minority group
employees currently engaged in each work classification required by
the contract work. This information is to be reported on Form PR
1391. If on-the-job training is being required by “Training Special
Provision”, the contractor will be required to furnish Form FHWA
1409.
[40 FR 28053, July 3, 1975, as amended at 43 FR 19386, May 5, 1978.
Correctly redesignated at 46 FR 21156, Apr. 9, 1981]
Appendix A to Subpart C of Part 230 - State Highway Agency Equal Employment Opportunity Programs
23:1.0.1.3.8.3.1.8.8 : Appendix A
Appendix A to Subpart C of Part 230 - State Highway Agency Equal
Employment Opportunity Programs
Each State highway agency's (SHA) equal employment opportunity
(EEO) program shall be in the format set forth herein and shall
address Contractor Compliance (part I) and SHA Internal Employment
(part II), including the organizational structure of the SHA total
EEO Program (internal and external).
part i - contractor compliance
I. Organization and structure. A. Statehighway agency
EEO Coordinator (External) and staff support. 1. Describe the
organizational location and responsibilities of the State highway
agency EEO Coordinator. (Provided organization charts of the State
highway agency and of the EEO staff.)
2. Indicate whether full or part-time; if part-time, indicate
percentage of time devoted to EEO.
3. Indicate length of time in position, civil rights experience
and training, and supervision.
4. Indicate whether compliance program is centralized or
decentralized.
5. Identify EEO Coordinator's staff support (full- and
part-time) by job title and indicate areas of their
responsibilities.
6. Identify any other individuals in the central office having a
responsibility for the implementation of this program and describe
their respective roles and training received in program area.
B. District or division personnel. 1. Describe the
responsibilities and duties of any district EEO personnel. Identify
to whom they report.
2. Explain whether district EEO personnel are full-time or have
other responsibilities such as labor compliance or engineering.
3. Describe training provided for personnel having EEO
compliance responsibility.
C. Project personnel. Describe the EEO role of project
personnel.
II. Compliance procedures. A. Applicable
directives. 1. FHWA Contract Compliance Procedures.
2. EEO Special Provisions (FHWA Federal-Aid Highway Program
Manual, vol. 6, chap. 4, sec. 1, subsec. 2, Attachment 1) 1
1 The Federal-Aid Highway Program Manual is available for
inspection and copying at the Federal Highway Administration
(FHWA), 1200 New Jersey Avenue, SE., Washington, DC 20590, or at
FHWA offices listed in 49 CFR part 7, appendix D.
3. Training Special Provisions (FHWA Federal-Aid Highway Program
Manual, vol. 6, chap. 4, sec. 1, subsec. 2, Attachment 2) 1
4. FHWA Federal-Aid Highway Program Manual, vol. 6, chap. 4,
sec. 1, subsec. 6 (Contract Procedures), and subsec. 8 (Minority
Business Enterprise). 1
B. Implementation. 1. Describe process (methods) of
incorporating the above FHWA directives into the SHA compliance
program.
2. Describe the methods used by the State to familiarize State
compliance personnel with all FHWA contract compliance directives.
Indicate frequency of work shops, training sessions, etc.
3. Describe the procedure for advising the contractor of the EEO
contract requirements at any preconstruction conference held in
connection with a Federal-aid contract.
III. Accomplishments. Describe accomplishments in the
construction EEO compliance program during the past fiscal
year.
A. Regular project compliance review program. This number
should include at least all of the following items:
1. Number of compliance reviews conducted.
2. Number of contractors reviewed.
3. Number of contractors found in compliance.
4. Number of contractors found in noncompliance.
5. Number of show cause notices issued.
6. Number of show cause notices rescinded.
7. Number of show cause actions still under conciliation and
unresolved.
8. Number of followup reviews conducted.
(Note:
In addition to information requested in items 4-8 above, include
a brief summary of total show cause and followup activities -
findings and achievements.)
B. Consolidated compliance reviews. 1. Identify the
target areas that have been reviewed since the inception of the
consolidated compliance program. Briefly summarize total
findings.
2. Identify any significant impact or effect of this program on
contractor compliance.
C. Home office reviews. If the State conducts home office
reviews, describe briefly the procedures followed by State.
D. Major problems encountered. Describe major problems
encountered in connection with any review activities during the
past fiscal year.
E. Major breakthroughs. Comment briefly on any major
breakthrough or other accomplishment significant to the compliance
review program.
IV. Areawide plans/Hometown and Imposed (if applicable).
A. Provide overall analysis of the effectiveness of each areawide
plan in the State.
B. Indicate by job titles the number of State personnel involved
in the collection, consolidation, preparation, copying, reviewing,
analysis, and transmittal of area plan reports (Contracting
Activity and Post Contract Implementation). Estimate the amount of
time (number of hours) spent collectively on this activity each
month. How does the State use the plan report data?
C. Identify Office of Federal Contract Compliance Programs
(OFCCP) area plan audits or compliance checks in which State
personnel participated during the last fiscal year. On the average,
how many hours have been spent on these audits and/or checks during
the past fiscal year?
D. Describe the working relationship of State EEO compliance
personnel with representatives of plan administrative
committee(s).
E. Provide recommendations for improving the areawide plan
program and the reporting system.
V. Contract sanctions. A. Describe the procedures used by
the State to impose contract sanctions or institute legal
proceedings.
B. Indicate the State or Federal laws which are applicable.
C. Does the State withhold a contractor's progress payments for
failure to comply with EEO requirements? If so, identify
contractors involved in such actions during the past fiscal year.
If not, identify other actions taken.
VI. Complaints. A. Describe the State's procedures for
handling discrimination complaints against contractors.
B. If complaints are referred to a State fair employment agency
or similar agency, describe the referral procedure.
C. Identify the Federal-aid highway contractors that have had
discrimination complaints filed against them during the past fiscal
year and provide current status.
VII. External training programs, including supportive
services. A. Describe the State's process for reviewing the
work classifications of trainees to determine that there is a
proper and reasonable distribution among appropriate craft.
B. Describe the State's procedures for identifying the number of
minorities and women who have completed training programs.
C. Describe the extent of participation by women in construction
training programs.
D. Describe the efforts made by the State to locate and use the
services of qualified minority and female supportive service
consultants. Indicate if the State's supportive service contractor
is a minority or female owned enterprise.
E. Describe the extent to which reports from the supportive
service contractors provide sufficient data to evaluate the status
of training programs, with particular reference to minorities and
women.
VIII. Minority business enterprise program. FHPM 6-4-1-8
sets forth the FHWA policy regarding the minority business
enterprise program. The implementation of this program should be
explained by responding to the following:
A. Describe the method used for listing of minority contractors
capable of, or interested in, highway construction contracting or
subcontracting. Describe the process used to circulate names of
appropriate minority firms and associations to contractors
obtaining contract proposals.
B. Describe the State's procedure for insuring that contractors
take action to affirmatively solicit the interest, capability, and
prices of potential minority subcontractors.
C. Describe the State's procedure for insuring that contractors
have designated liaison officers to administer the minority
business enterprise program in an effective manner. Specify
resource material, including contracts, which the State provides to
liaison officers.
D. Describe the action the State has taken to meet its goals for
prequalification or licensing of minority business. Include dollar
goals established for the year, and describe what criteria or
formula the State has adopted for setting such goals. If it is
different from the previous year, describe in detail.
E. Outline the State's procedure for evaluating its
prequalification/licensing requirements.
F. Identify instances where the State has waived
prequalification for subcontractors on Federal-aid construction
work or for prime contractors on Federal-aid contracts with an
estimated dollar value lower than $100,000.
G. Describe the State's methods of monitoring the progress and
results of its minority business enterprise efforts.
IX. Liaison. Describe the liaison established by the
State between public (State, county, and municpal) agencies and
private organizations involved in EEO programs. How is the liaison
maintained on a continuing basis?
X. Innovative programs. Identify any innovative EEO
programs or management procedures initiated by the State and not
previously covered.
part ii - state highway agency employment
I. General. The State highway agency's (SHA) internal
program is an integral part of the agency's total activities. It
should include the involvement, commitment and support of
executives, managers, supervisors and all other employees. For
effective administration and implementation of the EEO Program, an
affirmative action plan (AAP) is required. The scope of an EEO
program and an AAP must be comprehensive, covering all elements of
the agency's personnel management policies and practices. The major
part of an AAP must be recognition and removal of any barriers to
equal employment opportunity, identification of problem areas and
of persons unfairly excluded or held back and action enabling them
to compete for jobs on an equal basis. An effective AAP not only
benefits those who have been denied equal employment opportunity
but will also greatly benefit the organization which often has
overlooked, screened out or underutilized the great reservoir of
untapped human resources and skills, especially among women and
minority groups.
Set forth are general guidelines designed to assist the State
highway agencies in implementing internal programs, including the
development and implementation of AAP's to ensure fair and equal
treatment for all persons, regardless of race, color, religion, sex
or national origin in all employment practices.
II. Administration and implementation. The head of each
State highway agency is responsible for the overall administration
of the internal EEO program, including the total integration of
equal opportunity into all facets of personnel management. However,
specific program responsibilities should be assigned for carrying
out the program at all management levels.
To ensure effectiveness in the implementation of the internal
EEO program, a specific and realistic AAP should be developed. It
should include both short and long-range objectives, with
priorities and target dates for achieving goals and measuring
progress, according to the agency's individual need to overcome
existing problems.
A. State Highway Agency Affirmative Action Officer
(internal). 1. Appointment of Affirmative Action
Officer. The head of the SHA should appoint a qualified
Affirmative Action (AA) Officer (Internal EEO Officer) with
responsibility and authority to implement the internal EEO program.
In making the selection, the following factors should be
considered:
a. The person appointed should have proven ability to accomplish
major program goals.
b. Managing the internal EEO program requires a major time
commitment; it cannot be added on to an existing full-time job.
c. Appointing qualified minority and/or female employees to head
or staff the program may offer good role models for present and
potential employees and add credibility to the programs involved.
However, the most essential requirements for such position(s) are
sensitivity to varied ways in which discrimination limits job
opportunities, commitment to program goals and sufficient status
and ability to work with others in the agency to achieve them.
2. Responsibilities of the Affirmative Action Officer.
The responsibilities of the AA Officer should include, but not
necessarily be limited to:
a. Developing the written AAP.
b. Publicizing its content internally and externally.
c. Assisting managers and supervisors in collecting and
analyzing employment data, identifying problem areas, setting goals
and timetables and developing programs to achieve goals. Programs
should include specific remedies to eliminate any discriminatory
practices discovered in the employment system.
d. Handling and processing formal discrimination complaints.
e. Designing, implementing and monitoring internal audit and
reporting systems to measure program effectiveness and to determine
where progress has been made and where further action is
needed.
f. Reporting, at least quarterly, to the head of the SHA on
progress and deficiencies of each unit in relation to agency
goals.
g. In addition, consider the creation of:
(1) An EEO Advisory Committee, whose membership would include
top management officials,
(2) An EEO Employee Committee, whose membership would include
rank and file employees, with minority and female representatives
from various job levels and departments to meet regularly with the
AA officer, and
(3) An EEO Counseling Program to attempt informal resolution of
discrimination complaints.
B. Contents of an affirmative action plan. The
Affirmative Action Plan (AAP) is an integral part of the SHA's EEO
program. Although the style and format of AAP's may vary from one
SHA to another, the basic substance will generally be the same. The
essence of the AAP should include, but not necessarily be limited
to:
1. Inclusion of a strong agency policy statement of commitment
to EEO.
2. Assignment of responsibility and authority for program to a
qualified individual.
3. A survey of the labor market area in terms of population
makeup, skills, and availability for employment.
4. Analyzing the present work force to identify jobs,
departments and units where minorities and females are
underutilized.
5. Setting specific, measurable, attainable hiring and promotion
goals, with target dates, in each area of underutilization.
6. Making every manager and supervisor responsible and
accountable for meeting these goals.
7. Reevaluating job descriptions and hiring criteria to assure
that they reflect actual job needs.
8. Finding minorities and females who are qualified or
qualifiable to fill jobs.
9. Getting minorities and females into upward mobility and
relevant training programs where they have not had previous
access.
10. Developing systems to monitor and measure progress
regularly. If results are not satisfactory to meet goals, determine
the reasons and make necessary changes.
11. Developing a procedure whereby employees and applicants may
process allegations of discrimination to an impartial body without
fear of reprisal.
C. Implementation of an affirmative action plan. The
written AAP is the framework and management tool to be used at all
organizational levels to actively implement, measure and evaluate
program progress on the specific action items which represent EEO
program problems or deficiencies. The presence of a written plan
alone does not constitute an EEO program, nor is it, in itself,
evidence of an ongoing program. As a minimum, the following
specific actions should be taken.
1. Issue written equal employment opportunity policy
statement and affirmative action commitment. To be effective,
EEO policy provisions must be enforced by top management, and all
employees must be made aware that EEO is basic agency policy. The
head of the SHA (1) should issue a firm statement of personal
commitment, legal obligation and the importance of EEO as an agency
goal, and (2) assign specific responsibility and accountability to
each executive, manager and supervisor.
The statement should include, but not necessarily be limited to,
the following elements:
a. EEO for all persons, regardless of race, color, religion, sex
or national origin as a fundamental agency policy.
b. Personal commitment to and support of EEO by the head of the
SHA.
c. The requirement that special affirmative action be taken
throughout the agency to overcome the effects of past
discrimination.
d. The requirement that the EEO program be a goal setting
program with measurement and evaluation factors similar to other
major agency programs.
e. Equal opportunity in all employment practices, including (but
not limited to) recruiting, hiring, transfers, promotions,
training, compensation, benefits, recognition (awards), layoffs,
and other terminations.
f. Responsibility for positive affirmative action in the
discharge of EEO programs, including performance evaluations of
managers and supervisors in such functions, will be expected of and
shared by all management personnel.
g. Accountability for action or inaction in the area of EEO by
management personnel.
2. Publicize the affirmative action plan. a.
Internally: (1) Distribute written communications from the
head of the SHA.
(2) Include the AAP and the EEO policy statement in agency
operations manual.
(3) Hold individual meetings with managers and supervisors to
discuss the program, their individual responsibilities and to
review progress.
(4) Place Federal and State EEO posters on bulletin boards, near
time clocks and in personnel offices.
(5) Publicize the AAP in the agency newsletters and other
publications.
(6) Present and discuss the AAP as a part of employee
orientation and all training programs.
(7) Invite employee organization representatives to cooperate
and assist in developing and implementing the AAP.
b. Externally: Distribute the AAP to minority groups and
women's organizations, community action groups, appropriate State
agencies, professional organizations, etc.
3. Develop and implement specific programs to eliminate
discriminatory barriers and achieve goals. a. Job
structuring and upward mobility: The AAP should include
specific provisions for:
(1) Periodic classification plan reviews to correct inaccurate
position descriptions and to ensure that positions are allocated to
the appropriate classification.
(2) Plans to ensure that all qualification requirements are
closely job related.
(3) Efforts to restructure jobs and establish entry level and
trainee positions to facilitate progression within occupational
areas.
(4) Career counseling and guidance to employees.
(5) Creating career development plans for lower grade employees
who are underutilized or who demonstrate potential for
advancement.
(6) Widely publicizing upward mobility programs and
opportunities within each work unit and within the total
organizational structure.
b. Recruitment and placement. The AAP should include
specific provisions for, but not necessarily limited to:
(1) Active recruitment efforts to support and supplement those
of the central personnel agency or department, reaching all
appropriate sources to obtain qualified employees on a
nondiscriminatory basis.
(2) Maintaining contracts with organizations representing
minority groups, women, professional societies, and other sources
of candidates for technical, professional and management level
positions.
(3) Ensuring that recruitment literature is relevant to all
employees, including minority groups and women.
(4) Reviewing and monitoring recruitment and placement
procedures so as to assure that no discriminatory practices
exist.
(5) Cooperating with management and the central personnel agency
on the review and validation of written tests and other selection
devices.
(6) Analyzing the flow of applicants through the selection and
appointment process, including an analytical review of reasons for
rejections.
(7) Monitoring the placement of employees to ensure the
assignment of work and workplace on a nondiscriminatory basis.
c. Promotions. The AAP should include specific provisions
for, but not necessarily limited to:
1. Establishing an agency-wide merit promotion program,
including a merit promotion plan, to provide equal opportunity for
all persons based on merit and without regard to race, color,
religion, sex or national origin.
2. Monitoring the operation of the merit promotion program,
including a review of promotion actions, to assure that
requirements procedures and practices support EEO program
objectives and do not have a discriminatory impact in actual
operation.
3. Establishing skills banks to match employee skills with
available job advancement opportunities.
4. Evaluating promotion criteria (supervisory evaluations, oral
interviews, written tests, qualification standards, etc.) and their
use by selecting officials to identify and eliminate factors which
may lead to improper “selection out” of employees or applicants,
particularly minorities and women, who traditionally have not had
access to better jobs. It may be appropriate to require selecting
officials to submit a written justification when well qualified
persons are passed over for upgrading or promotion.
5. Assuring that all job vacancies are posted conspicuously and
that all employees are encouraged to bid on all jobs for which they
feel they are qualified.
6. Publicizing the agency merit promotion program by
highlighting breakthrough promotions, i.e., advancement of
minorities and women to key jobs, new career heights, etc.
d. Training. The AAP should include specific provisions
for, but not necessarily limited to:
(1) Requiring managers and supervisors to participate in EEO
seminars covering the AAP, the overall EEO program and the
administration of the policies and procedures incorporated therein,
and on Federal, State and local laws relating to EEO.
(2) Training in proper interviewing techniques of employees who
conduct employment selection interviews.
(3) Training and education programs designed to provide
opportunities for employees to advance in relation to the present
and projected manpower needs of the agency and the employees'
career goals.
(4) The review of profiles of training course participants to
ensure that training opportunities are being offered to all
eligible employees on an equal basis and to correct any inequities
discovered.
e. Layoffs, recalls, discharges, demotions, and disciplinary
actions. The standards for deciding when a person shall be
terminated, demoted, disciplined, laid off or recalled should be
the same for all employees, including minorities and females.
Seemingly neutral practices should be reexamined to see if they
have a disparate effect on such groups. For example, if more
minorities and females are being laid off because they were the
last hired, then, adjustments should be made to assure that the
minority and female ratios do not decrease because of these
actions.
(1) When employees, particularly minorities and females, are
disciplined, laid off, discharged or downgraded, it is advisable
that the actions be reviewed by the AA Officer before they become
final.
(2) Any punitive action (i.e., harassment, terminations,
demotions), taken as a result of employees filing discrimination
complaints, is illegal.
(3) The following records should be kept to monitor this area of
the internal EEO program:
On all terminations, including layoffs and discharges: indicate
total number, name, (home address and phone number), employment
date, termination date, recall rights, sex, racial/ethnic
identification (by job category), type of termination and reason
for termination.
On all demotions: indicate total number, name, (home address and
phone number), demotion date, sex, racial/ethnic identification (by
job category), and reason for demotion.
On all recalls: indicate total number, name, (home address and
phone number) recall date, sex, and racial/ethnic identification
(by job category).
Exit interviews should be conducted with employees who leave the
employment of the SHA.
f. Other personnel actions. The AAP should include
specific provisions for, but not necessarily limited to:
(1) Assuring that information on EEO counseling and grievance
procedures is easily available to all employees.
(2) A system for processing complaints alleging discrimination
because of race, color, religion, sex or national origin to an
impartial body.
(3) A system for processing grievances and appeals (i.e.,
disciplinary actions, adverse actions, adverse action appeals,
etc).
(4) Including in the performance appraisal system a factor to
rate manager's and supervisors' performance in discharging the EEO
program responsibilities assigned to them.
(5) Reviewing and monitoring the performance appraisal program
periodically to determine its objectivity and effectiveness.
(6) Ensuring the equal availability of employee benefits to all
employees.
4. Program evaluation. An internal reporting system to
continually audit, monitor and evaluate programs is essential for a
successful AAP. Therefore, a system providing for EEO goals,
timetables, and periodic evaluations needs to be established and
implemented. Consideration should be given to the following
actions:
a. Defining the major objectives of EEO program evaluation.
b. The evaluation should be directed toward results
accomplished, not only at efforts made.
c. The evaluation should focus attention on assessing the
adequacy of problem identification in the AAP and the extent to
which the specific action steps in the plan provide solutions.
d. The AAP should be reviewed and evaluated at least annually.
The review and evaluation procedures should include, but not be
limited to, the following:
(1) Each bureau, division or other major component of the agency
should make annual and such other periodic reports as are needed to
provide an accurate review of the operations of the AAP in that
component.
(2) The AA Officer should make an annual report to the head of
the SHA, containing the overall status of the program, results
achieved toward established objectives, identity of any particular
problems encountered and recommendations for corrective actions
needed.
e. Specific, numerical goals and objectives should be
established for the ensuing year. Goals should be developed for the
SHA as a whole, as well as for each unit and each job category.
III. Employment statistical data. A. As a minimum,
furnish the most recent data on the following:
1. The total population in the State,
2. The total labor market in State, with a breakdown by
racial/ethnic identification and sex, and
3. An analysis of (1) and (2) above, in connection with the
availability of personnel and jobs within SHA's.
B. State highway agencies shall use the EEO-4 Form in providing
current work force data. This data shall reflect only State
department of transportation/State highway department
employment.
[41 FR 28270, July
9, 1976, as amended at 41 FR 46294, Oct. 20, 1976; 74 FR 28442,
June 16, 2009]