ALABAMA DEPARTMENT OF TRANSPORTATION CONTRACTOR COMPLIANCE PROGRAM

UPDATE 2020 (JANUARY 1, 2019 – DECEMBER 31, 2019)

TABLE OF CONTENTS

I. Organization and Structure………………………………………………………………………….........3

A. ALDOT EEO Coordinator and Staff Support

B. Region/Area Office Personnel

C. Project Personnel

II. Compliance Procedures……………………………………………………………………………..........8

A. Applicable Directives

B. Implementation

III. Accomplishments………………………………………………………………………….……………..10

A. Regular Project Compliance Review Program

B. Consolidated Compliance Reviews

C. Home Office Reviews

D. Major Problems Encountered

E. Major Breakthroughs

IV. Areawide Plans/Hometown and Imposed (if applicable) ...…………………………………………….11

V. Contract Sanctions………..……………………………………………………………………………….11

VI. Complaints………………………………………………………………………………………………....12

VII. External Training Programs (including Supportive Services) …………………..………...………….12

VIII. Disadvantaged Business Enterprise Program……..……………………………………………………14

IX. Liaison………………………………………………………………….………………………………….14

X. Innovative Programs……………………………………………...………………………………………14

APPENDICES……………………...……………………………………………………………………..15

I. ORGANIZATION AND STRUCTURE

ALDOT EEO (External) Coordinator and Staff Support

The Alabama Department of Transportation’s (ALDOT) Compliance Bureau is devoted to implement and monitor

Federal Highway Administration (FHWA) Civil Rights Programs. The Bureau is located at 1409 Coliseum Boulevard,

Room N-101, Montgomery, Alabama 36110. The primary function of the Bureau is the continuous administration of

ALDOT’s EEO/Affirmative Action Program. The program is designed to implement federal and state laws, as well as

regulations issued by federal agencies regarding the Equal Employment Opportunity (EEO) requirements. The ALDOT

EEO Coordinator is a full-time position which is held by the Compliance Bureau Chief, who has the responsibility of

overall supervision. The EEO Coordinator has thirty-seven (37) years of experience in EEO and Civil Rights activities

on local, state and federal levels. (SEE APPENDIX 1)

By the close of CY2019, the External Programs Unit (EPU) had gone through some major changes. After over forty-

three (43) years, the External Program’s Transportation Equal Employment Unit Supervisor (TEEUS) retired on

October 1, 2019. In November 2019, the Contract Compliance Coordinator was promoted to another position at

another State Agency. Both positions remained vacant throughout the rest of CY2019. The individuals in the External

Programs Unit were placed under the supervision of the Internal Programs Unit Supervisor until the External Programs

Unit Supervisor vacancy is filled. The Contract Compliance EEO responsibilities were supervised by the Internal

Programs Unit Supervisor and the Compliance Bureau Chief within the Compliance Bureau. The Contract Compliance

Coordinator was given oversight responsibility for sections I & II of FHWA 1273, which included Construction

Contract EEO Compliance Procedures (23 CFR Part 230 Subpart D), Training Special Provision (23 CFR Part 230

Appendix B of Subpart A & 23 CFR Part 230.111) and the Implementation of Special Requirements for the Provision

of On-the-Job Training. The Contract Compliance Coordinator duties included: composing documents to initiate

ALDOT’s Annual Contractor Compliance Review Plan and Schedule, ensuring concurred/completed compliance

reviews were submitted to FHWA in a timely manner, composing/sending notices to contractors, ensuring submission

of the completed Annual 1392 EEO Report to FHWA and developing the Annual State Highway Agency EEO Report-

3

Part 1 Contractor Compliance. The duties of the Contract Compliance Coordinator were temporarily assigned to the

Equal Employment Officer, Sr. that serves as the Affirmative Action Officer until vacancy is filled. All individuals in

the Compliance Bureau follow the chain of command when submitting reports/information to the Administration

Bureau as instructed by ALDOT’s Special Council.

It should be noted that the Compliance Bureau’s External Program Unit Supervisor served as liaison between FHWA

and the rest of the agency, but it did not have the authority to implement the contract sanctions set forth in the

parameters of FHWA 1273 when a contractor was not meeting the obligations and responsibilities of the contract. This

authority was maintained by ALDOT’s Construction Region project personnel. It is the objective of the Compliance

Bureau, upon the approval of the Administration Bureau, to develop a cooperative effort with the Construction Bureau

to be put in effect during CY2020.

After receiving guidance from the Compliance Bureau, Region/Area Offices disseminate information to the District and

Project Managers who would forward information to the Contractors and Subcontractors. The Region/Area Offices also

receive, review and evaluate reports and other data such as contractor payroll from Project Managers and submit it to

the Central Office.

Region or Area Personnel

ALDOT is divided into five Regions (North, Southeast, West Central, Southwest, and East Central) that are found in

various geographical locations throughout Alabama. Furthermore, each Region is divided into two (2) Area Offices

(North-Tuscumbia/Guntersville, East Central-Birmingham/Alexander City, West Central-Tuscaloosa/Fayette,

Southeast-Montgomery/Troy and Southwest-Grove Hill/Mobile). Each Region has a Region Engineer who directs all

aspects of ALDOT responsibilities on a local level. The Region Engineer has authority to make some modifications to

their respective Region’s organizational structure and job responsibilities. There is an agency standard that each Region

Engineer employ a Project Manager/District Manager to oversee the project in its entirety. The Project Manager and

project personnel will have contact with the contractors and issue guidance to the contractors. The preferred Region

organizational structure is that each Area Office has an EEO/Compliance Specialist to complete the majority of EEO

tasks but is not always the case due to the nature of the Region or its inability to fill the position.

4

In the North Region (Guntersville/Tuscumbia), both the Area Offices have a vacant EEO Officer full-time position.

Therefore, EEO duties in the North Region are carried out by the State Professional Trainee along with various other

Regional Construction Personnel. The responsibilities of the North Region EEO include but are not limited to: conducts

Contract Compliance Reviews, counsels ALDOT employees concerning personnel issues, conducts EEO and Safety

meetings, reviews monthly EEO Individual Interviews as well as DBE Verification Interview Forms, coordinates high

school recruiting/safety programs, attends public hearings along with Pre-Construction conferences and assists the

Transportation Regional Office Manager with issues related to Americans with Disabilities Act (ADA) accommodation

for employees (not accessibility) to ensure department compliance with the ADA.

In the Southeast Region, the responsibilities are also divided by the Area offices in Montgomery and Troy, Alabama.

The Montgomery Area has a full-time EEO Officer who reports to the Southeast (SE) Region Transportation Equal

Employment Unit Supervisor (TEEUS). The duties of the EEO Officer includes but are not limited to the following:

conducts Contract Compliance reviews, monitors DBE performance and goal attainment on projects through monthly

contractor DBE-10 report monitoring, reviews EEO paperwork submitted by Project Managers including contractor

labor compliance and prompt payment reviews, oversees the compliance of project certified payroll through the Payroll

Monitor and monitors OJT training on area projects to report monthly standings to the OJT Coordinator. The EEO

Officer in the Troy Area has the full-time responsibility to ensure compliance with current policies and federal

regulations in relation to contractor compliance and equal employment opportunity. The Troy Area EEO Officer also

reports to the SE Region EEO Unit Supervisor who then reports to the Southeast Region Engineer.

The West Central Region personnel include a full-time Transportation Equal Employment Unit Supervisor (TEEUS), a

full-time EEO Officer in the Fayette Area office and a full-time EEO Officer in the Tuscaloosa Area office. Both Area

EEO Officers directly report to the West Central (WC) TEEUS, who in turn reports to the WC Region Engineer. The

responsibilities of the EEO position include the following: assists with harassment and discrimination issues, provides

classification/counsel on discipline issues, provides employees and supervisors with directions on fair treatment of

employment in ALDOT, investigates workplace violence claims, investigates non-discrimination grievances or claims,

coaches and counsel employees on the necessity of following the chain of command for conflict resolution. Additional

responsibilities include reviews and enters DBE Form 10s into CPMS, reviews DBE Onsite Verifications, conducts

Contract Compliance Reviews, monitors certified payrolls and prompt payment reviews; attends preconstruction

5

conferences while training co-workers, supervisors and contractor personnel on proper ALDOT/FHWA procedures.

The Southwest Region divides EEO responsibilities between the Area office in Grove Hill and the Region office in

Mobile. The Grove Hill Area office has a full-time EEO Senior who directly reports to the Operations Engineer. The

responsibilities of the EEO Senior includes but are not limited to conducts Contract Compliance Reviews; submits

review reports such as DBE-10 reports, Title VI Reviews, Contractor’s Employee Interviews, DBE On-Site Verification

Reviews, conducts Title VII Harassment and Discrimination Complaints and reports factual findings to the Region

Engineer; attends public town meetings with the Operation Engineer; attends Pre-Construction conferences to discuss

FHWA Requirements contractual Special Provisions. The responsibilities and duties of the Region EEO Officer in

Mobile, Alabama include but were not limited to the following: conducts Contract Compliance Reviews, communicate

equal employment opportunity requirements at Pre-Construction Conferences, conducts Title VII Harassment and

Discrimination Complaints, prepares Title VI Annual Reports for submittal to the Title VI Coordinator, conducts

Americans with Disabilities Act Self Evaluation and Transition Plan for all regional facilities accessible to the public,

reports directly to the Region Engineer who may also assign additional duties as needed and trains and monitors work

assigned to the State Professional Trainee. On November 9, 2019, the Southwest Region EEO passed away

unexpectedly and the duties were then shared between the Region Office State Professional Trainee and the Grove Hill

Area Office EEO until the position is filled.

The East Central Region has a Transportation Equal Employment Unit Supervisor (TEEUS) who directly reports to the

Region Engineer and an Area Equal Employment Officer-Alexander City who reports directly to the TEEUS. This

Region includes 8 District offices and 15 Project offices. The responsibilities of the TEEUS include such duties as

investigates complaints of employees and the public to ensure a good working relationship while advising the Region

Engineer, interviews/makes hiring recommendations, prepares/conducts performance appraisals, coordinates all Legal

requests for the entire East Region, compile reports such as Legal Status, Compliance reviews and OJT training,

monitor activities such as Contract Compliance, Disadvantaged Business Enterprise (DBE), OJT program and Youth

Transportation programs. The TEEUS also explains to the contractor the Special Provisions that are related to EEO,

Safety, OJT, DBE and Labor.

6

In August 2019, several EEOs from ALDOT attended the Southern Transportation Civil Rights Executive

Council/Training Symposium in Charlotte, North Carolina. The training included presentations/workshops on such

areas as: Contract Compliance, Title VI, Americans with Disabilities Act, and Disadvantaged Business Enterprises

(DBE). In October 2019, several EEOs from ALDOT also attended an External Programs Training (ALDOT-Gunter

Annex) to enhance the understanding of OJT and Contract Compliance programs.

Project Personnel

In all Regions, the Project Manager and his/her staff of Project Personnel are responsible for ensuring that the

operations of the contractor(s) are performed in accordance with the plans, specifications and special provisions set

forth in the contract. The Project Manager adheres to a set of guidelines contained within the “Construction Manual”

which outlines the Project Manager’s responsibilities including those that are of an EEO nature. The manual details a

mandatory uniform filing system to be utilized on each project that is consistent with good business procedures. The

filing system is broken down into four basic sections:

Section 1- Contractor’s Payroll Correspondence, Transcripts and Affidavits

Section 2- EEO Correspondence, Labor Interviews, DBE/WBE Verifications and Compliance Reviews

Section 3- Trainee Reports (all initial, monthly and final trainee reports)

Section 4- DBE Utilization Plan (including each verification report)

This uniform system allows for all the contractor’s EEO-activity documentation, procured by the Project Manager, to be

easily retrieved by anyone within the agency such as the Central Compliance Office and Region EEOs/Compliance

Specialists. Along with the maintenance of the contractor’s documentation, the Project Manager and staff also has the

responsibility to conduct interviews of the contractor’s employees, with a minimum of one interview per month per

every fifteen employees. When staffing levels are larger, monthly interviews are conducted at the 1:15 ratio prescribed.

It is important to note that ALDOT’s Region/Area personnel and Contract Compliance Specialists conduct interviews of

employees during the Contract Compliance Review and the results are included in the review reports.

7

II. COMPLIANCE PROCEDURES

Applicable Directives

FHWA Contract Compliance Procedures

EEO Special Provisions (FHWA Federal-Aid Highway Program Manual, vol. 6, chapter 4, section 1,

subsection 2, Attachment 1)

Training Special Provisions (FHWA Federal-Aid Highway Program Manual, vol. 6, chapter 4, section 1,

subsection 2, Attachment 2)

FHWA Federal-Aid Highway Program Manual, vol. 6, chapter 4, section 1, subsection 6 (Contract

Procedures), and subsection 8 (Minority Business Enterprise)

Implementation

The contract compliance review incorporates FHWA directives through formatting provided in the Contractor

Compliance Desk Reference; specifically, the following:

Appendix G: Contractor Compliance Review Data Report

Appendix I: Contractor Review Questions for Contractor for On-Site Verification and Interviews (Phase II)

Appendix J: Sample Correspondence

Contractor Voluntary Corrective Plan Letter Contractor Show Cause Notice Letter Notice of Compliance to Contractor from STA Contractor Voluntary Correction Action Plan Letter Contractor Compliance Review Report Checklist

ALDOT utilizes teleconferences, workshop-style meetings/training classes and symposiums to ensure that employees

with EEO responsibilities are knowledgeable about EEO requirements and informed of any updates published by

FHWA.

Within fifteen (15) working days of the issuance of the Notice to Proceed, the Region Construction Engineer arranges a

Pre-Conference between agency personnel, the prime contractor, subcontractors, utility company representatives and

other interested parties (If the project is federally-funded, the FHWA Area Engineer will be invited). The purpose of the

conference is to introduce everyone who would be actively associated with the project. During the conference, plans,

8

specifications, special provisions, and unusual conditions of the specific project are discussed along with how the Prime

Contractor plans to staff and construct the project. A suggested agenda format for the Pre-Construction include the

following:

Request for information in writing from the Prime Contractor (including Name of Company, Project Safety

Officer, Name of company EEO Officer and Affidavits authorizing person(s) to sign labor Payroll)

Region EEO or a designated representative would discuss and ensure the Prime Contractor has a clear

understanding of what is expected between all parties concerning EEO requirements contained within the

contract (including FHWA 1273, all EEO special provisions, bulletin board requirements, employee

interviews, project DBE obligations, and On-the-Job training where applicable)

Construction projects that contain the Training Special Provision (TSP) would require the involvement of EEOs from

the External Programs Unit (EPU). The OJT Coordinator provides further emphasis on the importance of the

contractor’s OJT responsibilities and obligations as well as providing updates of the enhancement parts of the OJT

manual. The Annual OJT report submitted to FHWA for calendar year 2019 noted a total of 66 enrollees in the OJT

program and 33 OJT program graduates:

Male Enrollees Total Percentage OJT Enrollment Female Enrollees Total Percentage

White 17 29.3% White 6 75% Black 33 56.9% Black 2 25%

Hispanic 8 13.8% Hispanic 0 0% American Indian 0 0% American Indian 0 0%

Overall Total Males 58 87.9% Overall Total Females 8 12.1%

Male Trainees Total Percentage OJT Graduates Female Trainees Total Percentage

White 5 18.5% White 5 83.3% Black 16 59.3% Black 1 16.7%

Hispanic 6 22.2% Hispanic 0 0% American Indian 0 0% American Indian 0 0%

Overall Total Males 27 81.8% Overall Total Females 6 18.2%

9

III. ACCOMPLISHMENTS

A. Regular Project Compliance Review Program

Number of compliance reviews conducted: 11

Number of contractors reviewed: 11

Number of contractors found in compliance: 11

Number of contractors found in non-compliance: 1

Number of show cause notices issued: 1

Number of show cause notices rescinded: 1

Number of show cause actions still under conciliation and unresolved: 0

Number of follow-up reviews conducted: 0

B. Consolidated Compliance Reviews

None

C. Home Office Reviews

The guidance given in FHWA 1273 dictates that ALDOT’s oversight responsibilities of ensuring

contractor compliance in non-discrimination and affirmative action measures are limited to the

contract, which is the project. Home Office Reviews require reviewing outside of the scope of the

contract (home office location and reviewing personnel outside project classifications), thus ALDOT

solely conducts project reviews. To increase flexibility within the Contractor Compliance Program,

ALDOT requests technical assistance from FHWA on conducting Home Office reviews in accordance

to the regulations 23 CFR Part 230.411.

D. Major Problems Encountered

The overall goals for calendar year 2019 included completing thirteen (13) contractor compliance

reviews. However, the goal was impacted by one of the projects not being reviewed due to the

unforeseen circumstance in the SW Region EEO Office (Mobile). Also, a project in the East Central

Region was not reviewed due to the fact all project work was performed/completed before the

scheduled review. The (1) remaining compliance review in the Mobile Area will be rescheduled for

completion in 2020 if the project has not already been completed by the review date.

10

E. Major Breakthroughs

There were no major breakthroughs noted during CY2019.

IV. AREAWIDE PLANS/HOMETOWN AND IMPOSED (IF APPLICABLE)

Currently ALDOT does not have an Areawide Plan that takes the form of either a voluntary “Hometown” approved by

Office of Federal Contract Compliance Program (OFCCP) or an OFCCP-mandated “Imposed” plan.

V. CONTRACT SANCTIONS

In accordance with FHWA 1273, 23 CFR Part 230, ALDOT maintains a policy that “If the Region Engineer determines

that the Contractor or Subcontractor is not making his/her best effort in supply of records necessary to determine

compliance with EEO requirements in the contract, he/she may temporarily withhold monthly estimates as a means of

impressing upon the Contractor the necessity of those necessary records.” If the Region/Area office or External

Program Unit’s monitoring efforts find evidence that the contractor is not making Good Faith Efforts (GFEs), the

Region Engineer will be informed to determine the need to enforce contract sanctions.

Applicable state and federal laws are discussed within The ALDOT Standard Specifications for Highway Construction

2018 Edition 102.14 (a)(4) Laws and Ordinances, which is made available to contractors and posted on the agency’s

webpage. State Laws, specifically Title 23 and Title 29 of the Code of Alabama 1975, covers respectively the

requirements for Highways, Roads, Bridges & Ferries and requirements for contract administrations (bonding, bidding,

letting, award and payment).

There have been no reports of “failure to comply” sanctions issued against any contractor by ALDOT who was utilized

by the agency during active projects in 2019.

11

VI. COMPLAINTS

The State of Alabama does not have a fair employment agency, however ALDOT has a complaint procedure to process

External Complaints of Discrimination (SEE APPENDIX 2)

VII. EXTERNAL TRAINING PROGRAMS, INCLUDING SUPPORTIVE SERVICES

On-the-Job Training

ALDOT adheres to the outlined format contained within 23 CFR Part 230.111 for the development and establishment of

its On-the-Job Training (OJT) Program. ALDOT details the procedure in the ALDOT OJT Manual, which was revised

in November 2019. The steps begin with ALDOT’s Office of Engineer assigning an amount of training hours to a

project before the bidding process allowing contractors the ability to bid on OJT. Once the project is awarded, the

contractor submits to the OJT Coordinator, the firm’s OJT Plan for approval in terms of the number of trainees to be

trained for each selected classification and the training programs to be utilized. The OJT Coordinator (an Equal

Employment Officer within External Programs) immediately reviews the proposed OJT Plan, and if approved using the

OJT Manual as a guide, forwards the approved plan to the Region(s) and the contractor(s).

The oversight process continues with periodic visits to the project construction sites to conduct trainee interviews by the

OJT Coordinator, Region and Project Office staff. A standardized questionnaire is used to gauge the trainee’s

experiences relating to the contractor’s contractual obligations and the contractor’s administration of the designated

OJT program (OJT Trainee Interview Form, SEE APPENDIX 3). The OJT Coordinator’s role provides trainee

monitoring assistance to Project personnel and helps facilitate direct understanding of the program by the contractors

and trainees. The OJT Coordinator also inspects the Project Office’s OJT files for added oversight to ensure all

necessary documentation is complete and adequate.

Since the primary objective in training programs is to train and upgrade minority and women work groups to

journeyman status, the External Programs Unit requires that each Region submit a monthly report to the Unit that

12

includes all pertinent information identifying individuals selected by the contractor(s) to participate in their contracted

OJT programs. In addition to the monthly updates, each Region submits an annual report that provides data to show

how many women, minority, and other individuals who have successfully completed the OJT training program.

Certificates are provided by the Unit which are given to the trainees after their training. A copy of the certification is

included in the contract period.

Supportive Services

ALDOT directly solicits proposals for OJT Supportive Services (SS) from qualified sources including historically black

and/or state colleges/universities and the general public to ensure a competitive nature in the procurement of these

supportive services. The Federal Highway Administration (FHWA) allocated $113,816.21 to ALDOT for the FY 2017

OJT/SS Program. The funds were awarded to The University of Alabama in Huntsville (UAH) for a Pre-Apprentice

Training Program with NCCER (National Center for Construction Education and Research) Certification. The program

is designed to train eight participants. The program started in August 2019. FHWA also allocated $111,825.00 to

ALDOT for the FY 2018 and FY2019 OJT/SS Program (for a total of $223,650.00). The funds were awarded to Bishop

State Community College for a Heavy Highway Construction Pilot Training Program with CDL (Commercial Drivers’

License). The program is designed to train a total of 30 participants (15 participants each at the two sites – Bishop State

Community College {Mobile, Alabama} and Trenholm State Community College {Montgomery, Alabama}). The

program started in November 2019. It is considered a model project that is designed to become a part of the Governor’s

apprenticeship program for Alabama. It is also the objective of the program to increase the number of community

colleges that participate in the program in CY2020.

As required by federal regulations, ALDOT ensures its OJT/SS Contractors provide monthly and quarterly reports that

comprise a sufficient amount of statistical data and narrative content to enable evaluation on both progress and

problems within the program. OJT/SS Contractors are also required to conduct a Follow-up Review on the employment

status of each OJT Program graduate at 90-day, 180-day, and 360-day thresholds subsequent to the effective date of

their contract. (Refer to 23 CFR Part 230 Subpart A, paragraph 230.113 (f) (5) and (6))

ALDOT’s primary objective in its OJT/SS Program is to increase the effectiveness of an approved OJT program while

providing meaningful training opportunities for minorities, women, and the disadvantaged on Federal-aid highway

projects. Each progress report submitted by contractors must include a monthly contact sheet and evaluation form with

13

specific reference to minorities and women. ALDOT utilizes the reports to assess the deliverables of each program.

Also, with ALDOT’s OJT/SS reporting requirements, in monthly and quarterly intervals, provide ALDOT the ability to

implement corrective changes and/or new ideas in such a way as to generate the most effect over the timespan of the

program period.

VIII. DISADVANTAGED BUSINESS ENTERPRISE (DBE)

For more information on The Disadvantaged Business Enterprise (DBE) Program, please visit:

https://www.dot.state.al.us/conweb/DBEProgram.html

IX. LIASION

In January 2019, a request was made from the National Office of Federal Contract Compliance Program (OFCCP) for

ALDOT to submit notifications of federal-aid contract awards in an electronic format. Since the request was made, the

Bureaus of Compliance, Computer Services, Construction and Office Engineer have made continuous progress toward

fulfilling OFCCP’s request.

X. INNOVATIVE PROGRAMS

During CY2019, there was a pilot program implemented by Bishop State Community College and Trenholm

Community College in collaboration with ALDOT that utilized funding from the FY2018-2019 for OJT/SS. The

training program will address current and future workforce in the highway construction sector for heavy equipment

operators who also possess a Commercial Driver’s License.

14

CONTRACTOR COMPLIANCE APPENDICES

15

APPENDIX 1

(ORGANIZATIONAL CHARTS)

16

GOVERNOR KAY IVEY

GOVERNOR KAY IVEY

TRANSPORTATION DIRECTORJOHN R. COOPER

TRANSPORTATION DIRECTORJOHN R. COOPER

CHIEF ENGINEERDON ARKLE

CHIEF ENGINEERDON ARKLE

DEPUTY DIRECTOR/ADMINISTRATIONMAXINE WHEELER

DEPUTY DIRECTOR/ADMINISTRATIONMAXINE WHEELER

LEGAL BUREAUBureau Chief

Bill Patty

LEGAL BUREAUBureau Chief

Bill Patty

DEPUTY DIRECTOR/OPERATIONSGEORGE CONNER

DEPUTY DIRECTOR/OPERATIONSGEORGE CONNER

Aeronautics BureauBureau Chief

Aeronautics AdministratorJohn Eagerton

Aeronautics BureauBureau Chief

Aeronautics AdministratorJohn Eagerton

Personnel BureauBureau Chief

DPM IVSteve Dukes

Personnel BureauBureau Chief

DPM IVSteve Dukes

Air Transportation BureauChief Pilot

Aircraft Pilot IIBrian DeKruyff

Air Transportation BureauChief Pilot

Aircraft Pilot IIBrian DeKruyff

Media & Community Relations BureauBureau Chief

Governmental Relations ManagerTony Harris

Media & Community Relations BureauBureau Chief

Governmental Relations ManagerTony Harris

Assistant Chief EngineerPolicy & Planning

Ed Austin

Assistant Chief EngineerPolicy & Planning

Ed Austin

Assistant Chief EngineerPre-Construction

William Adams

Assistant Chief EngineerPre-Construction

William Adams

Bridge BureauState Bridge Engineer

PCE IIIWilliam Colquett

Bridge BureauState Bridge Engineer

PCE IIIWilliam Colquett

Right of Way BureauState Right of Way Engineer

ROW Bureau ChiefPhillip Shamburger

Right of Way BureauState Right of Way Engineer

ROW Bureau ChiefPhillip Shamburger

Design BureauState Design Engineer

PCE IIISteve Walker

Design BureauState Design Engineer

PCE IIISteve Walker

Local Transportation BureauState Local Transportation Engineer

PCE IIIEd Phillips

Local Transportation BureauState Local Transportation Engineer

PCE IIIEd Phillips

Office Engineer BureauState Office Engineer

PCE IIIClay McBrien

Office Engineer BureauState Office Engineer

PCE IIIClay McBrien

Maintenance BureauState Maintenance Engineer

PCE IIIStacey Glass

Maintenance BureauState Maintenance Engineer

PCE IIIStacey Glass

Materials & Tests BureauState Materials & Tests Engineer

PCE IIIScott George

Materials & Tests BureauState Materials & Tests Engineer

PCE IIIScott George

Equipment BureauBureau Chief

Equipment Management CoordinatorStan Carlton

Equipment BureauBureau Chief

Equipment Management CoordinatorStan Carlton

South West RegionRegion Engineer

Matthew Ericksen

South West RegionRegion Engineer

Matthew Ericksen

South East RegionRegion Engineer

Steve Graben

South East RegionRegion Engineer

Steve Graben

West Central RegionRegion Engineer

James Brown

West Central RegionRegion Engineer

James Brown

North RegionRegion Engineer

Curtis Vincent

North RegionRegion Engineer

Curtis Vincent

East Central RegionRegion EngineerDeJarvis Leonard

East Central RegionRegion EngineerDeJarvis Leonard

Construction BureauState Construction Engineer

PCE IIISkip Powe

Construction BureauState Construction Engineer

PCE IIISkip Powe

The Alabama Department of TransportationSeptember 16, 2019

Quality Control BureauState Quality Control Engineer

PCE IIITerry McDuffie

Quality Control BureauState Quality Control Engineer

PCE IIITerry McDuffie

DEPUTY DIRECTOR/FLEET MANAGEMENTWILLIE BRADLEY, JR.

DEPUTY DIRECTOR/FLEET MANAGEMENTWILLIE BRADLEY, JR.

Compliance & Business Opportunities BureauBureau Chief

Equal Employment Opportunity CoordinatorClarence Hampton

Compliance & Business Opportunities BureauBureau Chief

Equal Employment Opportunity CoordinatorClarence Hampton

Office of Transportation EnforcementPublic Information Manager

Lynn Childs

Office of Transportation EnforcementPublic Information Manager

Lynn Childs

Fleet Management ServicesAnalyst

Ray Thomason

Fleet Management ServicesAnalyst

Ray Thomason

State Motor Pool Manager

Jimmy Kinard

State Motor Pool Manager

Jimmy Kinard

Fleet Management AccountingStaff AccountantAshley Mitchell

Fleet Management AccountingStaff AccountantAshley Mitchell

Office of Engineering ServicesChiefPCE III

Brian Davis

Office of Engineering ServicesChiefPCE III

Brian Davis

Computer Services BureauBureau ChiefIT Manager III

Michael Stokes

Computer Services BureauBureau ChiefIT Manager III

Michael Stokes

Research & Development BureauState Research & Development Engineer

PCE IIIMichelle Owens

Research & Development BureauState Research & Development Engineer

PCE IIIMichelle Owens

Training/EDP BureauBureau Chief

ALDOT Training/EDP ManagerBridget Jones

Training/EDP BureauBureau Chief

ALDOT Training/EDP ManagerBridget Jones

FINANCE AND AUDITS BUREAUBureau ChiefKelly Brendle

FINANCE AND AUDITS BUREAUBureau ChiefKelly Brendle

Green Fleet ManagementAnalyst

Areda Alexander

Green Fleet ManagementAnalyst

Areda Alexander

Special CounselEllen Leonard

Special CounselEllen Leonard

17

Evelyn M Wheeler

9012004

Deputy Director -

Unclassified

493Evelyn M Wheeler

9012004

Deputy Director -

Unclassified

493

CLARENCE HAMPTON

1731101

EQUAL

EMPLOYMENT OPP

COORD

NoneCLARENCE HAMPTON

1731101

EQUAL

EMPLOYMENT OPP

COORD

None

AMANDA A THOMAS

1736370

ADMIN SUPPORT

ASST III

NoneAMANDA A THOMAS

1736370

ADMIN SUPPORT

ASST III

None

Hayley M Bullock

1731110

CLERK

NoneHayley M Bullock

1731110

CLERK

None

Vacant

1735498

ADMIN SUPPORT

ASST II

NoneVacant

1735498

ADMIN SUPPORT

ASST II

None

TAMEKA L ROSE

1731580

TRANP EQUAL EMP

UNIT SUPV

NoneTAMEKA L ROSE

1731580

TRANP EQUAL EMP

UNIT SUPV

None

CORNELL L TATUM

1730700

Equal Employment

Officer Sr

NoneCORNELL L TATUM

1730700

Equal Employment

Officer Sr

None

ANTHONY MILLER

1735358

EQUAL

EMPLOYMENT

OFFICER

NoneANTHONY MILLER

1735358

EQUAL

EMPLOYMENT

OFFICER

None

SHONDRA D SWINNEY

1906603

Equal Employment

Officer Sr

NoneSHONDRA D SWINNEY

1906603

Equal Employment

Officer Sr

None

STACEY W DAKWA

1730682

EQUAL

EMPLOYMENT

OFFICER

NoneSTACEY W DAKWA

1730682

EQUAL

EMPLOYMENT

OFFICER

NoneVacant

1927301

STATE

PROFESSIONAL

TRAINEE

NoneVacant

1927301

STATE

PROFESSIONAL

TRAINEE

None

Vacant

1731581

TRANP EQUAL EMP

UNIT SUPV

NoneVacant

1731581

TRANP EQUAL EMP

UNIT SUPV

None

Vacant

1730282

EQUAL

EMPLOYMENT

OFFICER

NoneVacant

1730282

EQUAL

EMPLOYMENT

OFFICER

None

Vacant

1731105

ADMIN SUPPORT

ASST II

NoneVacant

1731105

ADMIN SUPPORT

ASST II

None

Vacant

1731138

ADMIN SUPPORT

ASST I

NoneVacant

1731138

ADMIN SUPPORT

ASST I

None

Compliance Bureau as of 12-31-19

18

APPENDIX 2

(EXTERNAL COMPLAINTS INFORMATION)

19

State of Alabama Alabama Department of Transportation

1409 Coliseum Boulevard Montgomery, AL 3611 O

April 8, 2011

14

PROCESSING PROCEDURES FOR EXTERNAL COMPLAINTS OF DISCRIMINATION

I. PURPOSE

To specify the process to be employed by the Federal Highway Administration (FHWA) and its primary recipients [Alabama Department of Transportation (ALDOT)] to investigate complaints, while ensuring due process for complaints and respondents. The process does not preclude the responsible staff of any agency from attempting to informally resolve complaints.

II. APPLICABILITY

The complaint procedures outlined herein apply to the FHWA, STA, and other primary recipients and sub-recipients in their administration of the Federal-aid highway program.

Ill. AUTHORITIES

See Appendix A

IV. DEFINITION

Discrimination---involves any act or inaction, whether intentional or unintentional in any program or activity of a Federal-aid recipient, sub-recipient, or contractor, which results in disparate (unfavorable), treatment, disparate impact, or perpetuating the effects of prior discrimination based on race, color, sex, national origin, age, disability or in the case of disability, failing to make a reasonable accommodation.

An act (or action) whether intentional or unintentional, through which a person in the United States, based on race, color, sex, age, national origin, or disability has been subjected to unequal treatment under any program or activity receiving financial assistance from the FHWA under title 23 U.S.C.

V. FILING OF COMPLAINTS

A. Persons Eligible to File

Any person who believes that he or she or any specific class of persons has been subjected to discrimination or retaliation prohibited by any of the Civil Rights authorities listed in Appendix A, based upon race, color, sex, age, national origin, or

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disability may file a written complaint. The complaint may be filed by the affected individual or a representative and must be reduced to writing.

B. Time Limits for Filing

A complaint must be filed no later than 180 days after the following :

1. The date of the alleged act of discrimination; or

2. The date when the person(s) became aware of the alleged discrimination; or

3. Where there has been a continuing course of conduct, the date on which that conduct was discontinued or the latest instance of the conduct.

C. Form of Complaints

1. Complaints shall be in writing and signed by the person(s) or representative and include the complainant's name, address and telephone number. Allegations of discrimination received by fax or e-mail will be acknowledge and processed. Allegations received by phone will be reduced to writing and provided to the complainant for conformation or revision before processing.

2. The complainant will be provided with a Notice of Investigatory Uses of Personal Information, which outlines the complainant's rights and protections during an investigation. The complainant will also be provided with a Complainant Consent/Release Form, which requests the complainant's consent to release information about the complainant's identity during the course of the investigation.

D. Agencies Authorized to Receive Complaints

Complaints may be submitted to FHWA, ALDOT, other primary recipients and sub­recipients, the United States Department of Transportation (USDOT), and the U. S. Department of Justice (USDOJ).

VI. PROCESSING COMPLAINTS

A. Responsibilities

1. Federal Highway Administration

a. The Chief, Investigations and Adjudications in the Headquarters Civil Rights Service Business Unit (HCR) will acknowledge receipt of all complaints filed with Headquarters, the resource centers or the division offices. The allegations will be analyzed and the complainant notified of those aspects accepted for investigation.

b. Complainants received by HCR filed against Federal -aid sub-recipients and contractors will be sent to ALDOT for investigation.

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c. All complaints received by the resource centers or the division offices will be forwarded to the Chief, Investigations and Adjudication for appropriate action.

d. The Chief, Investigations and Adjudication, will determine the matter accepted for investigation.

e. The Chief, Investigations and Adjudication, will determine whether the complaint will be reviewed or investigated by HCR, resource center civil rights staff, or a team involving division office and Resource Center personnel.

f. Complaints filed under the Americans with Disabilities Act (ADA) will be assigned to the appropriate division office for investigation of the complaint is lodged against ALDOT. ADA complaints filed against sub­recipients will be referred by the involved division to ALDOT for resolution or investigation. The division office will maintain the complaints log for all ADA complaints.

g. Except for ADA complaints, division office personnel will not investigate complaints lodged against the State for which it is responsible. Division office personnel may be assigned as team leaders in investigations of complaints in other States.

h. The Investigations and Adjudications Team will obtain a control number for each complaint from the Departmental Office of Civil Rights (DOCR).

1. Upon request, resource center and SBU Directors and CSU Program Managers will designate knowledgeable and objective program personnel to information and insights into applicable Federal-aid programs in processes involve in complaints.

J. ADA complaints against entities open to the public but not receiving Federal-aid and those involving law enforcement referred to FHWA by DOJ will be investigated by the Division to which the matter is referred for action.

2. STAs

a. Complaints filed with ALDOT in which the ALDOT is named as the Respondent, shall be forwarded to the HCR for processing.

b. Complaints received by HCR filed against Federal-aid sub-recipients and contractors will be sent to ALDOT for investigation.

c. Complaints filed with ALDOT against their recipients shall be processed by ALDOT in accordance with the FHWA approved complaint procedures as required under 23 CFR 200.

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d. ALDOT shall maintain a log of complaints which are filed with and investigated by ALDOT.

e. In accordance with the regulations at 23 CFR 200.9(b)(3) , a copy of the Complaint, together with a copy of the State's report of the investigation , shall be forwarded to the FHWA Division Office within 60 days of the date the complaint was received by ALDOT. An extension of an additional 60 days may be granted by the FHWA for justifiable reasons. The division office will forward the complaint to HCR for review and issuance.

f. The Division Office shall also maintain a separate log designated for all Complaints processed by ALDOT.

3. Sub-recipients

a. Complaints filed with a sub-recipient will be processed in accordance with the approved ALDOT procedures.

b. In special cases warranting intervention to ensure justice, the FHWA may assume jurisdiction and either complete or obtain services to review or investigate a matter. Materials already obtained by State investigators may be relied upon or supplemented or the matter may be re-investigated.

B. Receipt and Acceptance

Upon receipt of a complaint by the FHWA, the Chief, Investigations and Adjudication will determine jurisdiction and whether there is the need for additional information. Acceptance of a complaint will be determined by:

1. whether the complaint is timely filed ;

2. whether the allegations involved a covered basis such as race, color, sex, age, national origin, disability, or retaliation ; and ,

3. whether the allegations involve a program or activity of a Federal-aid recipient, sub-recipient, or contractor; or, in the case of ADA allegations, an entity open to the public. The HCR has sole authority for accepting complaints for investigation. All complaints received by the resource centers or the division offices will be forwarded to HCR for appropriate action . Complaint numbers will be assigned by the DOCR.

The Investigations and Adjudication Team will acknowledge receipt of all complaints received in HCR within 10 days of receipt.

C. Time Frames

1. All complaints shall be investigated and an investigative report issued to all parties within 180 days from the initial receipt of the complaint.

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2. Complaints processed by ALDOT are bound by the time frames outlined in 23 CFR 200.9(b)(3).

D. Dismissals

A complaint may be dismissed for the following reasons :

1. The complaint is untimely filed ;

2. The complaint does not allege a basis covered by the statutes for which HCR is responsible;

3. The complaint does not allege any harm with regard to covered programs or statutes;

4. The complainant requests the withdrawal of the complaint;

5. The complainant fails to respond to repeated requests for additional information needed to process the complaint;

6. The complainant cannot be located after reasonable attempts;

7. The complainant fails to accept a reasonable resolution . Reasonableness to be determined by the HCR.

8. The complainant has filed a legal action in Federal District Court with the same basis (es) and issue (s) involved in the complaint.

9. The same complaint allegations have been filed with another Federal, State, or local agency.

E. Final Agency Decisions

1. All final agency decisions (FAD) and dismissals will be issued by the HCR, including all ADA decisions.

2. The investigator will forward the investigative report , investigative file , and a recommend decision to the Chief, Investigations and Adjudication .

3. ALDOT, which have conducted investigations of complaints filed against Sub-recipients and contractors will submit their investigative reports, investigative files, and recommended decisions to Chief, Investigations and Adjudication .

The Department of Justice's Civil Rights Division takes the position that a Title VI finding of violation or no violation is a Federal decision that cannot be delegated. Although a State recipient can conduct a Title VI investigation of its sub-recipients or contractors and make a recommended finding to the Federal decision making authority, FHWA recipients must

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submit their proposed dispositions to FHWA for a Final Agency Decision. The HCR may request that further investigation be undertaken if the record of evidence is incomplete.

VII. INFORMAL RESOLUTION

A. Responsibilities

1. USDOT/FHWA

a. Complaints filed directly with USDOT/FHWA against ALDOT shall be, at the discretion of the HCR, investigated by the Investigations and Adjudication Team or the civil rights staff of the resource center. The division office personnel may be assigned as team members or team leaders in investigations of complaints in States other than that to which they are permanently assigned.

b. Complaints filed directly with USDOT/FHWA against a contractor or sub­recipient will be referred to ALDOT for investigation.

c. Complaints filed against FHWA shall be referred to the USDOT for appropriate action or referral to DOJ.

d. FHWA has the option of reviewing or investigating class action and pattern and practice complaints of employment discrimination filed against recipients of Federal financial assistance subject to Title VI of the Civil Rights Act of 1964 in accordance with the Department of Justice and the Equal Employment Opportunity Commission (EEOC) regulations at 29 CFR 1691, Procedures for Complaints of Employment Discrimination filed Against Recipients of Federal Financial Assistance. All individual complaints of employment discrimination shall be referred directly to the EEOC.

e. The HCR shall assign ADA complaints to the division offices for resolution or investigation.

f. All final agency decisions (FAD) shall be issued by the HCR, including findings on investigations conducted by ALDOT.

g. All informal agreements must be concurred in by the Director, HCR or his/her designee.

h. The FHWA in cases involving allegations of program management with discriminatory impacts may opt to conduct a program review to ascertain facts, and, if the need is indicated, rely on the compliance process to obtain needed corrections.

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2. STAs

a. Complaints filed directly with an ALDOT against contractors or Sub­recipients shall be investigated by the STA, utilizing procedures approved by FHWA in accordance with 23 CFR 200.9(b) (3) .

b. Complaints filed directly with the ALDOT against the STA shall be forwarded directly to HCR.

c. The ALDOT that conducted investigations of complaints filed against sub­recipients and contractors will submit their investigative reports , investigative files , and recommended decisions to HCR for review, approval , and issuance.

d. The ALDOT may use contract investigators to conduct investigations of complaints of discrimination , if the use of contract investigators will assist in preventing or eliminating a backlog of complaints. All complaints are to be investigated in accordance with approved complaint processing procedures.

The ALDOT remains the responsible entity for all investigations received by it or referred to the ALDOT by the FHWA.

3. INVESTIGATIONS

a. FHWA investigators and members of their teams will be issued letters of authority.

b. Investigators assigned a complaint for investigation shall obtain written statements from witnesses and copies of records and other evidence needed to ascertain the validity of allegations raised in the complaint. Witnesses are required to cooperate. Any failure to cooperate must be documented to allow appropriate action to be initiated.

c. Within 60 days of the completion of the investigation , investigators shall analyze the evidence, coordinate with disinterested program personnel as necessary, and complete and submit a report of findings of facts with recommendations to the Chief, Investigation and Adjudication.

B. Scope

Unless the evidence clearly shows the need to expand the issue, investigations shall be confined to the issues and facts relevant to the allegations in the complaint.

C. Cooperation with the Investigator

All ALDOT and contractor personnel must fully cooperate with the investigator in obtaining information necessary to the investigation. Failure of an agent to

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cooperate fully can be grounds for a determination of non-compliance on the part of the agent's employer.

1. Access to Sources

The investigator shall have access to all records, documentation, and other sources of information pertinent to the investigation.

2. Records in Possession of Third Party

In the event any requested information is in the exclusive possession of any other agency, institution or person which or who refuses or fails to furnish this information , the investigator shall set forth in the report the efforts made to obtain the information, including the identity of persons not cooperating in the investigation.

D. Failure to Cooperate

In the event any person , individually or as an agency or organization representative, fails or refuses to furnish information to an investigator, the investigator shall inform the head of the ALDOT or contractor that such failure may result in a finding of non-compliance. A finding of non-compliance can result in the imposition of administrative remedies pursuant to 23 CFR 1.36 or the imposition of sanctions pursuant 49 CFR 21 .13. The investigator shall indicate in the Investigative Report that the contractor or agency refused to provide pertinent information, and shall set forth efforts made to obtain the information.

E. Findings of Non-Compliance/Compliance

1. Finding of Non-Compliance

In the event the FHWA concludes there is non-compliance with the laws I regulations and the complainant disagrees, the complainant may, if dissatisfied, file and action in the appropriate U.S. District Court. Decisions issued by the FHWA are final.

F. Appeal Rights

Final agency decisions (FAD) issued by the FHWA are administratively final.

G. Records

1. FHWA

a. The FHWA shall maintain a case file for each complaint investigated. The case file shall be tabbed and shall contain the following:

(1) A table of contents;

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(2) A copy of the original and or amended complaint;

(3) The investigative plan;

(4) The investigative report;

(5) All correspondence to and from the complainant and respondent;

(6) All official statements and/or affidavits taken;

(7) All documents used to make the determination;

(8) All investigator's notes;

(9) Any and all documents pertaining to the complaint; and

( 10) A copy of the final agency decision

(11) Investigative log outlining actions taken and contacts made during the course of the investigation.

b. All case files which are to leave the possession of the FHWA are to be redacted in accordance with the Privacy Act.

c. Investigative files of closed cases shall be maintained for 5 years, then either archived or destroyed.

2. ALDOT

The ALDOT and their sub-recipients shall maintain records of external complaints filed with them, identifying each complaint by race, color, sex, age, relig ion/creed , disability, national origin or retaliation . The record should contain :

a. The complaint;

b. The agency with which the complaint was filed ;

c. The investigative report;

d. The complaint disposition and date; and

e. Other pertinent information.

VIII. INVESTIGATIVE PROCESS

The investigator shall prepare an Investigative Plan (IP) which is a working document intended to define the issues and lay out the blueprint to complete the investigation. The IP is an internal document for use by the investigator and the assigned case

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worker in HCR to keep the investigation on track and focused on the issued and likely sources of evidence or corroboration. The IP should follow the outline below:

I. COMPLAINANT(S) NAME AND ADDRESS ATTORNEY FOR COMPLAINANT - NAME AND ADDRESS

II. RESPONDENT(S) NAME AND ADDRESS ATTORNEY FOR RESPONDENT - NAME AND ADDRESS

Ill. APPLICABLE LAW(S)

IV. BASIS/BASES

V. ALLEGATION(S)/ISSUE(S)

VI. BACKGROUND

VII. NAME OF PERSONS TO BE INTERVIEWED AND ISSUES OF WHICH THEY HAVE FIRST-HAND KNOWLEDGE; QUESTIONS FOR COMPLAINANT; QUESTIONS FOR RESPONDENT; QUESTIONS FOR WITNESS(ES)

VIII. EVIDENCE TO BE OBTAINED DURING THE INVESTIGATION

A. Investigative Log

An investigative log shall be maintained which documents all activity related to the complaint.

B. Request for Information and Cover Letter

The investigator shall prepare the Request for Information (RFI) and cover letter. The RFI is taken directly from the evidence section of the IP.

The investigator shall make contact with Respondent to advise of the complaint and to determine the appropriate official(s) to interview and receive the RFI. The RFI and cover letter are sent to the appropriate Respondent's official.

The cover letter shall be sent with the RFI and shall explain the process, provide the investigator's name, and provide information regarding any scheduled meetings.

C. Interviews

Interviews shall be conducted with the Complainant, the respondent, and appropriate witnesses during the investigative process.

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1. Preparing for the Interviews

The main objective during the interview is to obtain information from witnesses who can provide information that will either support or refute the allegations. A list of major questions should be prepared that address the issues involved in the complaint. During the course of interviews, different perceptions by witnesses will force other questions to be asked of earlier witnesses. Affidavits obtained and signed will have to be amended as necessary and changes initialed or the entire document re-cast. During the interview, the investigator should generally do the following:

a. Introduce him/herself, provide identification, purpose of the interview and outline the interviewing process - (indicate that a signed statement will be requested and that notes will be taken). Make it clear that interviews are not to be tape recorded;

b. Put the individual being interviewed at ease;

c. Explain that the information obtained will be reduced to an affidavit and that the testimony will be sworn and administer the oath;

d. Ask open ended questions that will get you the witness's perception - who, what, where, when, and how;

e. Listen actively and effectively during the interview;

f. Distinguish factual information from opinions;

g. Take clear and precise notes;

h. Review the statement with the interviewee and allow time for changes or corrections; and

i. Obtain a signed statement from the individual being interviewed. (If the person interviewed refuses to sign, explain that the statement may be modified as appropriate to accurately reflect their perspective and that if they still do not sign, that fact will be recorded and reported.)

2. Persons to be Interviewed

a. Complainant(s)

Complainants are interviewed to gain a better understanding of the situation outlined in the complaint of discrimination. Usually, complaints are received through the mail from complainants. The

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investigator should contact the complainant to make sure that he/she understands what the complainant is concerned about.

It is best to interview the complainant before completing the IP. However, if this cannot be done, the investigator must be ready to make any changes as appropriate to the IP based on any new information provided by the complainant.

b. Respondent( s)

Respondents are interviewed to provide an opportunity for response to the issues raised by the Complainant as well as to get an understanding of the Respondent's operation or policies that the Complainant is citing in the operation.

Respondents should always be advised that they have the right to submit a formal position statement addressing the Complainant's allegations.

Respondents have the right to know the charges alleged in the complaint and the right to have a representative or counsel in attendance during the interviews.

The investigator should also question Respondent regarding resolution opportunities.

c. Witness( es)

The Complainant or Respondent may have persons they wish the investigator to contact and interview who may have information relevant to the issues alleged in the complaint of discrimination. The investigation will determine whether the testimony to be provided is relevant.

The investigator will also determine when enough interviews have been conducted .

E. On-Site Visit

An on-site investigation should be conducted when :

1 . Personal contact with the complainant and the respondent may yield information and clarification that might not otherwise be discovered by reviewing written documents or speaking over the telephone;

2. It is necessary to review the physical environment;

3. More effective communication can be established with representatives and witnesses of the respondent and the complainant; and,

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4. Documentation can only be examined on-site for reasons of convenience, cost, format, or volume.

F. Evidence

Evidence requested shall be related to the issues raised in the complaint. An evidence request shall contain some or all of the following:

1. All documents pertaining to the Respondent's dealing with the Complainant in the situation complained of;

2. Documents which show how others, both similarly situated and not were treated ;

3. Respondent's reason for the action taken.

4. Statistical data related to the issues involving the complainant and similar and dissimilar individuals or groups; and

5. The identities and positions of persons whose actions gave rise to the complaint.

G. Analysis of Data

Often, data must be analyzed to determine whether a violation has occurred . When analyzing data, the investigator must:

1. Review what happened to complainant;

2. Compare complainant's treatment with the appropriate policies and procedures;

3. Compare complainant's treatment with others in the same situation;

4. Review respondent's reason for the treatment afforded complainant; and

5. Compare respondent's treatment of complainant with the treatment afforded others. (Both the respondent and the complainant must be contacted for additional information to allow each of them to confirm or rebut the assertions of the other party) .

H. Writing the Investigative Report

The investigator shall prepare an investigative report setting forth all of the relevant facts obtained during the investigation. The investigative report shall include a finding for each issue and recommendations where necessary. The investigative report shall include:

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Transportation Director

1. COMPLAINANT(S) NAME AND ADDRESS

2. RESPONDENT(S) NAME AND ADDRESS

3. APPLICABLE LAWS I REGULATIONS

4 . BASIS I BASES

5. ISSUE(S)

6. FINDINGS FOR EACH ISSUE

7. CONCLUSION FOR EACH ISSUE

8. RECOMMENDED DECISION

9. RECOMMENDATIONS (IF APPLICABLE)

The investigative report shall be reviewed and a final agency decision issued by HCR. A copy of the investigative report shall be provided to both complainant and to the respondent.

Date

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APPENDIX A--AUTHORITIES

NONDISCRIMIATION

NONDISCRIMINATION STATUTES Title VI of the Civil Rights Act of 1964, 42 U. S. C. 2000, provides in section 601 that: No person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or subjected to discrimination under any program or activity receiving Federal financial assistance.

Section 504 of the Rehabilitation Act of 1973, 29 U.S. C. 790, provides: No qualified handicapped person shall , solely by reason of his handicap, be excluded from participation in , be denied the benefits of, be subjected to discrimination under any program or activity that receives or benefits from Federal financial assistance.

Age Discrimination Act of 1975, U.S. C. 6101, provides: No person in the United States shall, on the basis of age, be excluded from participation in, be denied benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.

23 U. S. C. 324, provides: No person shall on the ground of sex be excluded from participation in, be denied benefits of, or be subjected to discrimination under any program or activity receiving Federal assistance under this title or carried on under this title.

The Civil Rights Restoration Act of 1987, P. L. 100-209, provides: Clarification of the original intent of Congress in Title VI of the Civil Rights Act of 1964, Title IX of the Educations Amendments of 1972, the Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973. Restores the broad, institution-wide scope and coverage of the non­discrimination statutes to include all programs and activities of Federal-aid recipients, sub­recipients, and contractors, whether such programs and activities are federally assisted or not.

Title II of the Americans with Disabilities Act of 1990, P. L. 101-336, provides: No qualified individual with a disability shall, by reason of such disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination by a department, agency, special purpose district, or other instrumentality of a State or local government.

NONDISCRIMINATION EXECUTIVE ORDERS E. 0. 12250 DOJ Leadership and Coordination of Non-discrimination Laws

E. 0. 12898 Federal Actions to Address Environmental Justice in Minority Populations and Low­Income Populations

NONDISCRMIATION REGULATIONS 28 CFR 35 DOJ regulations governing Nondiscrimination on the basis of disability in State and

Local Government Services.

28 CFR 36 DOJ regulations governing nondiscrimination on the basis of disability in public accommodations and commercial facilities.

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28 CFR 41 Implementation of Executive Order 12250, Nondiscrimination on the basis of handicap in federally assisted programs.

28 CFR 42, Subpart C DOJ's regulation implementing Title VI of the Civil Rights Act of 1964.

28 CFR 50.3 DOJ's Guidelines for the enforcement of Title VI of the Civil Rights Act of 1964.

49 CFR 21 DOT's Title VI regulation.

49 CFR 27 DOT's regulation implementing Section 504 of the Rehabilitation Act of 1973.

23 CFR 200 FHWA's Title VI regulation.

23 CFR 1235 FHWA and NHTSA joint regulation governing Uniform System for Parking for People with Disabilities.

NONDISCRIMINATION DIRECTIVES DOT ORDER 1000.12 Implementation of the DOT Title VI Program.

DOT ORDER 1050.2 Standard Title VI Assurances.

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APPENDIX 3

(OJT TRAINEE INTERVIEW FORM)

36

State of Alabama Department of Transportation Trainee Interview Form

Date: Project Number: County: Contractor: Project Engineer:

Answers Provided by Trainee Trainee Name: Address: Race: White Black Hispanic Asian American Indian Other Sex: Male Female _________Age:

1. Have you previously performed work in the training classification that you are now presently enrolled?

2. How long have you worked for this contractor?3. What was your classification when you started?4. When did you start working on this project?5. What is your job classification on this project?6. Rate of pay: Has your trainee pay rate been explained to you? _ 7. How did you get into the training program?New Hire Upgrade8. Who supervises, reviews, and approves your work?9. What types of tools or equipment do you use during training?

10. Has the contractor’s Training Program been explained to you? _ When? By Whom?11. Are you aware of the EEO Officer/complaint procedure for the company? _ 12. Has anyone informed you on the location of the project bulletin board? _ 13. Do you feel that you should be trained for another job? _Which job? Why? ________________________________________ 14. Any complaints concerning the training that you are receiving?If so, what?

Trainee Signature: To Be Answered by the Interviewer

Indicate the job classification for this trainee as shown on certified payroll for this

project.

Week Ending Rate of Pay:

If trainee answered “NO” to questions 10, 11, and 12, ask them to explain and provide comments.

Additional Comments: _ _

ALDOT Employee Signature

Title ___________________________________________________________

Send the original to the Division EEO Officer and keep a copy in the project EEO file.

On-the-Job Training Email Form Print Form

Instruction Manual 37

Date:

State of Alabama Department of Transportation Trainee Interview Form

Project Number: County: Contractor: Project Engineer:

Respuestas del Estudiante

Nombre del Estudiante: Direccion:

Raza: Blanco Negro Hispano _ Asiatico Indigeno Americano Otro

Sexo: Hombre Mujer Edad: _

1. Ha trabajado alguna vez en la clasificacion de entrenamiento en la que ahora ests usted regustrado?

2. Cuanto tiempo ha trabajado para este constratista?3. Cual fue su clasificacion cuando empezó?4. Cuando emprezo a trabajar en este proyecto?5. Cual es su clasificacion de trabajo en este proyecto?6. Salario por hora?: Le han explicado su paga por hora como estudiante? 7. Como entro en el programa de entrenamiento?Debido al Nuevo empleo? Debido a unu Promocian? 8. Quien supervise, revisa, y aprueba su trabajo?9. Que tipo de herramientas or maquinaria usa durante su entrenamiento?

10. Le han explicado el programa de entrenamiento que le contratista provee?Cuando? Quien le explico?11. Conoce al representante de la oficina EEO y el procedimiento de la compania para hacer reclamos?

12. Le ha informado alguien del lugar en donde se haya el tablero de anuncios del proyecto?_13. Piensa usted que deberia de ser entrenado para otro trabajo?Cual trabajo? Por que?14. Tien usted reclamos concerniente al entrenamiento que usted esta ahora recibiendo?Si asi fuese, cuales son?

Firma Del Estudiante

To Be Answered by the Interviewer

Indicate the job classification for this trainee as shown on certified payroll for this project. Week Ending Rate of Pay: If trainee answered “NO” to questions 10, 11, and 12, ask them to explain and provide comments.

Additional Comments: _

ALDOT Employee Signature Title

Send the original to the Division EEO Officer and keep a copy in the project EEO file.

On-the-Job Training Instruction Manual

Email Form Print Form38