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The Department of Conservation and Recreation Did Not Have Adequate Processes or Procedures To Ensure That Its Contractors Met Its Workforce Participation Goal for Women and Minorities.

Without adequate processes or procedures, DCR could not collect the data to calculate the workforce participation goal achieved for the 99 construction contracts that were active during our audit period.

Table of Contents

Overview

The Department of Conservation and Recreation (DCR) did not have adequate processes or procedures to effectively monitor and collect data to determine whether each contractor achieved the workforce participation goal for women and minorities. Without adequate processes or procedures, DCR could not collect the data to calculate the workforce participation goal achieved for the 99 construction contracts that were active during our audit period.

Authoritative Guidance

Section 44A(1)(G) of Chapter 149 of the Massachusetts General Laws states,

Every contract by a state agency or state assisted contract for design, construction, reconstruction, installation, demolition, maintenance or repair shall set forth the participation goals of minority and women workers to be employed on each such contract and the processes and procedures to ensure compliance with those workforce participation goals, including reporting and enforcement provisions.

The Executive Office of Administration and Finance’s “Equal Opportunity and Non-discrimination on State and State-Assisted Construction Contracts” administrative bulletin states, “The participation goals . . . shall be 15.3% for minorities and 6.9% for women.”

Reasons for Noncompliance

DCR officials told us they did not know how to create a process or procedures to collect data from the contractors in order to calculate the workforce participation goal achieved on active contracts.

Recommendation

DCR should develop policies and procedures to effectively monitor and collect the data necessary to ensure that the contractors achieve the workforce participation goal.

Auditee’s Response

DCR has established a process and procedures to ensure that contractors meet workforce participation goals for women and minorities. DCR specifically states in each contract that the applicable local minority workforce utilization percentage is a minimum goal of 15.3%. The applicable local women workforce utilization percentage is a minimum goal of 6.9%. DCR contracts also require contractors to submit weekly workforce reporting forms which detail compliance with each of these goals (see page 59–60 in part III of each contract). These processes and procedures, which were in place during the audit period, enable effective monitoring and compliance with workplace goals for women and minorities.

While DCR processes and procedures are in place, we recognize that implementation of these processes and procedures could be strengthened. DCR therefore is taking steps to further strengthen the collection and monitoring of required reports and compliance with workplace goals. During the period of the audit, weekly reports from contractors were given directly to the DCR project manager and filed with the design and engineering team, while quarterly reports were filed with the DCR contracts manager and filed within the DCR Contracts Unit. DCR is improving and centralizing access to reports and associated information across DCR units by creating a standardized project file within Sharepoint that includes both the design and engineering file and the Contracts Unit file. This unified file will allow DCR's Contracts Unit to more readily monitor and ensure compliance with workforce participation goals for minorities and women.

Auditor’s Reply

The Office of the State Auditor (OSA) agrees that DCR states what the local minority and local women workforce utilization percentages are in each contract. OSA also acknowledges that DCR contracts require contractors to submit forms that detail compliance with the workforce participation goal. However, DCR has not established any written policies and procedures that describe how DCR uses these weekly workforce reporting forms in the gathering of the data documented on these reports or the calculation of the percentages based on the data provided by the contractors as stated in the contracts. Written policies and procedures are a critical component of an agency’s internal control system that ensure that its activities are conducted consistently, effectively, efficiently, and in compliance with applicable regulations and other requirements. Written policies and procedures also establish accountability and allow management to effectively monitor and manage activities.

Therefore, we reiterate our recommendation that DCR should develop policies and procedures to effectively monitor and collect the data necessary to ensure that the contractors achieve the workforce participation goal.

Date published: November 3, 2022

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