Chapter 18: Employee Interviews and Equal Employment Opportunity (EEO) Compliance

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• 18-1 Introduction
• 18-2 Equal Employment Opportunity Regulations and Applicability
• 18-3 Prime Contractor Responsibilities
  • 18-3-1 Methods of Communication
• 18-4 Equal Employment Opportunity Employee Interviews
  • 18-4-1 Site Visit Observations
  • 18-4-2 Job Site Bulletin Board Requirements
  • 18-4-3 Worker Interviews
  • 18-4-4 Labor Compliance Procedure
  • 18-4-5 Owner-Operator Interviews
• 18-5 Employee Equal Employment Complaints

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18-1 Introduction

An essential component of the employee interview, or job site visit, is to collect information that can be used to validate information on the payroll records, and to verify Equal Employment Opportunity (EEO) worker protections. 

In addition to questions regarding wage rates, hours of work, and type of work performed, ask the worker about EEO and anti-discrimination policies. Ask employees if they have been informed of the EEO policies and procedures for filing an EEO-related complaint.

The following sections describe the related regulatory provisions, prime contractor responsibilities, how employee interviews help disseminate information to the worker, and processing of EEO complaints.

18-2 Equal Employment Opportunity Regulations and Applicability

All contractors, subcontractors, and material suppliers must comply with applicable EEO statutes, regulations, and policies to promote equal employment opportunities and equal treatment of employees without regard to race, color, sex, age, disability, religion, or national origin.

The minimum EEO requirements are communicated in FHWA Form 1273, “Required Contract Provisions, Federal-Aid Construction Contracts.” This document contains the required federal EEO contract provisions and proposal notices that must be incorporated into federal construction contracts and subcontracts of $10,000 or more.

California nondiscrimination and EEO requirements for public works contractors are in Title VI of the Civil Rights Act of 1964; California Government Code, Section 12990; Title 2 of the regulations of the Fair Employment and Housing Commission; and California Code of Regulations, Title 2, Section 8107 (2 CCR 8107), “Nondiscrimination Clause,” and Section 8203 (2 CCR 8203), “Standard California Nondiscrimination Construction Contract Specifications.”

18-3 Prime Contractor Responsibilities

The prime contractor is responsible for EEO, prevailing wage, and Title VI compliance by all lower-tier subcontractors and service providers. Contractors must remain in compliance with their contractual obligations throughout the duration of their contract.

At a minimum, contractors must implement and maintain the following EEO-related procedures and documents:

• Document and implement, through a company officer, EEO policy and procedures, and adhere to the stated requirements.
• Appoint an EEO officer and make sure the appointment is continuous. Provide the EEO officer’s name and contact information to regulatory agencies.
• Communicate EEO policy, procedures, and EEO officer contact information to all employees.
• Maintain a written record documenting policy, procedures, officer designations, programs, and communications.
• Post company EEO policy on the job site with other required project posters.

Contractors and subcontractors should routinely notify project employees of their EEO civil rights, contractor’s policies, procedures, and wage and payroll protections.

18-3-1 Methods of Communication

Contractors may present EEO policy and procedures information to project personnel in one or more ways, such as:

• Employee handbooks that include the EEO policy and procedures
• Notices or posters describing the EEO policy and procedures
• Staff meetings describing the EEO policy and procedures

Regardless of the method, contractors are required to maintain records that document compliance with EEO communication requirements for all employees.

18-4 Equal Employment Opportunity Employee Interviews

Legal authorization for conducting employee interviews is defined in the federal Copeland “Anti-kickback” Act, which requires that employee interviews be conducted on all public works construction projects that use federal funds. Federal regulations do not establish a minimum frequency of interviews, only a “representative sample” of interviews.

Employee interviews are treated confidentially but can be disclosed in a court of law. Do not disclose to the employer the identity of the employee without the employee’s consent. If an employee does not want to be interviewed, the inspector should stop the interview, document it in the diary, and notify the Labor Compliance officer.

18-4-1 Site Visit Observations

During the interview site visit, it must be confirmed that:

• EEO posters are displayed in a conspicuous place and are legible
• Supervisory personnel are familiar with contractor's EEO obligations
• The employee referral source system is being implemented
• Meetings or other methods of communication have been used to communicate EEO policies
• Employees are aware of their right to file complaints of discrimination

18-4-2 Job Site Bulletin Board Requirements

The prime contractor is responsible for the job site installation and maintenance of a fixture that displays information on the rights, protections and appeals available to all workers. The fixture should be labeled as “job site bulletin board” or similar, and conform to the following requirements:

• Located in a prominent, safe, maintained, accessible site within the limits of the project. Relocate the bulletin board fixture as work conditions necessitate.
• The number of boards may be dependent on the length of the project and whether there is a central location for workers to report.
• The job site bulletin board must be in place during the duration of a project or while there are workers at the job site location.

Posters are required, as listed in Table 18-A, “Job Site Bulletin Board Posters.”

TABLE 18‑A: JOB SITE BULLETIN BOARD POSTERS

The job site bulletin board may also be used to display other documents of general relevance to the project and its employees, such as environmental permits, worker’s compensation rights, and safety guidance.

18-4-3 Worker Interviews

The resident engineer’s field inspector must take employee interviews on Form CEM-2504, “Employee Interview: Labor Compliance / EEO,” or Form CEM-2504 (Spanish), “Entrevista de Empleado: Cumplimiento Laboral / IOE.”. The resident engineer is responsible for making sure interviews are conducted at a rate of at least two employees per contract, per month, including at least one interview from the prime contractor and each subcontractor, until the contract is accepted or all employees on the project have been interviewed.

After reviewing the completed interview form, the resident engineer submits it to the district Labor Compliance office. Any deficiencies, unwritten complaints, or comments are brought to the attention of the Labor Compliance officer.

If an interview indicates a reporting deficiency or labor compliance violation, the Labor Compliance officer must conduct a full investigation. See Chapter 20, “Audits and Investigations Process,” of this manual for more information.

Make sure inspectors are conducting the minimum required number of employee interviews. If the minimum number of interviews is not taken, remind the resident engineer of legal requirements and Caltrans policy. It may be necessary to request assistance from the deputy district director of Construction in the form of a memo reiterating the interview frequency.

18-4-4 Labor Compliance Procedure

Log the interview forms into the labor compliance database or posting log. After logging them in, review the following items on the form:

Step 1: Form Item 1 - To be filled in by interviewer

• Verify name and classification of the employee by crosschecking against the employer’s payroll for the day worked
• Insert a wage rate for the contract and the payroll for both base rate and fringe benefits
• Verify that the work is consistent with the classification. If not, the contractor may be working the employee out of class, and additional wages may be due.

Step 2: Form Item 2 - Questions to be asked of employee

• A, B, C, and D - Compare the interview form to the certified payroll. Note any discrepancies.
• E and F - If the inspector gets a “No” response, the resident engineer should talk to the contractor’s EEO officer and notify them that the posters are not available to the employees and to correct the problem. A few days later, the inspector should take another interview to see if corrective action has been taken.
• E, F, and G - If any of these responses are negative, send a copy of form to the Division of Construction Labor Compliance unit for

Step 3: Form Item 3 - Additional questions for owner-operators

Verify owner-operator status based on submitted certified payrolls. For more information on owner-operators, see Chapter 9, Section 9-4, “Owner-Operators,” of this manual.

Step 4: Form Item 4 - Employee comments

• Take note of comments.

Step 5: Form Item 5 - Interviewer’s comments

• Take note of comments.

18-4-5 Owner-Operator Interviews

In addition to conducting employee interviews, truck and equipment operators designated as owner-operator should also be interviewed to determine the correctness of this classification. Interviews must be taken from the owner-operator on the Form CEM-2504, “Employee Interview: Labor Compliance / EEO,” and can be used to validate that the owner-operator is an owner-operator and not an employee. If review of the payroll record shows that deductions for Social Security taxes or state unemployment insurance taxes are withheld for the owner-operator, it is an indication that the operator is an employee and not an independent contractor.

18-5 Employee Equal Employment Complaints

A discrimination complaint can be received at any point during the labor compliance monitoring process, including from information gathered through the worker interviews. When a complaint indicates that the practices of Caltrans have the effect of discrimination, it is a Title VI complaint. Complaints may originate as a direct complaint, which is made by the public or by a contractor.

For complaints that occur during construction, refer such Title VI complaints to the district Labor Compliance officer. The Labor Compliance officer will then refer the complaint to the district Title VI liaison. Make sure to include the name and contact information of the complainant. The district Title VI liaison will process the complaint, gather the required information, including relevant documents, and refer the complaint for formal investigation to the Office of Civil Rights, Title VI branch.

For additional details on the Title VI complaints process, refer to the Caltrans internal and public website links.