# COMAR Title 09 — Maryland Department of Labor

## Subtitle 12 — Division of Labor and Industry

### Chapter 42 — Equal Employment Opportunity

**Authority:** Labor and Employment Article, §11-405, Annotated Code of Maryland

**Administrative History:** Effective date: September 1, 1971

**Administrative History:** Chapter revised effective September 8, 1978 (5:18 Md. R. 1387)

**Administrative History:** (Transferred from Department of Licensing and Regulation to Department of Employment and Training, effective October 1, 1983; recodified from COMAR 09.12.21 to 24.04.01)

**Administrative History:** Chapter revised effective December 21, 1992 (19:25 Md. R. 2208)

**Administrative History:** Chapter recodified from COMAR 24.04.01 to COMAR 09.12.42, May 1996

**Administrative History:** Regulation .01 amended effective April 11, 2016 (43:7 Md. R. 448)

#### Regulation .01 Scope and Purpose.

*COMAR 09.12.42.01*

A. Scope.

  (1) Except as provided in COMAR 09.01.12.01C, these regulations do not apply to youth apprenticeship under Apprenticeship Maryland.

  (2) These regulations set forth policies and procedures to promote equality of opportunity in apprenticeship programs registered with the Maryland Apprenticeship and Training Council.

  (3) These policies and procedures apply to the recruitment and selection of apprentices, and to all conditions of employment and training during apprenticeship.

  (4) The procedures established provide for review of apprenticeship programs, for registering apprenticeship programs, for processing complaints, and for deregistering noncomplying apprenticeship programs.

B. Purpose. The purpose of these regulations is to promote equality of opportunity in apprenticeship and encourage the fullest development of the interests and aptitudes of apprentices by prohibiting discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability in apprenticeship programs, by requiring affirmative action to provide equal opportunity in apprenticeship programs, and by coordinating these regulations with other equal opportunity programs.

#### Regulation .02 Definitions.

*COMAR 09.12.42.02*

A. In this chapter, the following terms have the meanings indicated.

B. Terms Defined.

  (1) “Apprenticeship program” means a program registered with the Maryland Apprenticeship and Training Council and evidenced by a certificate of registration or other appropriate document as meeting the apprenticeship standards of the Council.

  (2) “Council” means the Maryland Apprenticeship and Training Council.

  (3) “Employer” means any person or organization employing an apprentice whether the apprentice is enrolled with this person or organization or with some other person or organization.

  (4) “Minority” means an individual male or female member of a group that has historically been under-utilized in apprenticeship programs due to discrimination based on race, color, or national origin.

  (5) “Sponsor” means any person or organization operating an apprenticeship program, irrespective of whether this person or organization is an employer.

#### Regulation .03 Equal Opportunity Standards.

*COMAR 09.12.42.03*

A. Obligation of Sponsors. Each sponsor of an apprenticeship program shall:

  (1) Recruit, select, employ, and train apprentices during their apprenticeship without discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability;

  (2) Uniformly apply regulations concerning apprentices, including but not limited to equality of wages, periodic advancement, promotion, assignment of work, job performance, rotation among all work processes of the trade, imposition of penalties or other disciplinary action, and all other aspects of the apprenticeship program administered by the program sponsor; and

  (3) Take affirmative action to provide equal opportunity in apprenticeship, including adoption of an affirmative action plan as required by these regulations.

B. Equal Opportunity Pledge. Each sponsor of an apprenticeship program shall include in its standards the following equal opportunity pledge: The recruitment, selection, employment, and training of apprentices during their apprenticeship, shall be without discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability. The sponsor will take affirmative action to provide equal opportunity in apprenticeship and will operate the apprenticeship program as required by these regulations and 29 CFR 30.

C. Programs Presently Registered. Each sponsor of a program registered with the Council as of the effective date of these regulations shall within 90 days of that date take the following action:

  (1) Include in the standards of its apprenticeship program the equal opportunity pledge prescribed by §B of this regulation;

  (2) Adopt an affirmative action plan required by Regulation .04 of this chapter; and

  (3) Adopt a selection procedure required by Regulation .05 of this chapter. A sponsor adopting a selection method under Regulation .05B(1), (2), or (3) shall prepare, and have available for submission upon request, copies of its amended standards, affirmative action plans, and selection procedure. A sponsor adopting a selection method under Regulation .05B(4) shall submit to the Council copies of its standards, affirmative action plan, and selection procedure in accordance with the requirements of Regulation .05B(4)(a)(i).

D. Sponsors Seeking New Registration. A sponsor of a program seeking new registration with the Council shall submit copies of its proposed standards, affirmative action plans, selection procedures, and other information that may be required. The program shall be registered if the standards, affirmative action plan, and selection procedure meet the requirements of these regulations.

E. Programs Subject to Approved Equal Employment Opportunity Programs. A sponsor may not be required to adopt an affirmative action plan under Regulation .04 of this chapter or a selection procedure under Regulation .05 of this chapter if it submits to the Council satisfactory evidence that it is in compliance with an equal employment opportunity program providing for the selection of apprentices and for affirmative action in apprenticeship including goals and timetables for women and minorities which has been approved as meeting the requirements of Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. §2000e et seq.) and its implementing regulations published in Title 29 of the Code of Federal Regulations, Chapter XIV or Executive Order 11246, as amended, and its implementing regulations at Title 41 of the Code of Federal Regulations, Chapter 60; provided that programs approved, modified, or renewed after the effective date of these regulations will qualify for this exemption only if the goals and timetables for minorities and women for the selection of apprentices provided for in these programs are equal to or greater than the goals required under these regulations.

F. Programs with Fewer than Five Apprentices. A sponsor of a program in which fewer than five apprentices are indentured may not be required to adopt an affirmative action plan under Regulation .04 of this chapter or a selection procedure under Regulation .05 of this chapter, provided that the program was not adopted to circumvent the requirements of these regulations.

#### Regulation .04 Affirmative Action Plans.

*COMAR 09.12.42.04*

A. Adoption of Affirmative Action Plans. A sponsor's commitment to equal opportunity in recruitment, selection, employment, and training of apprentices shall include the adoption of a written affirmative action plan.

B. Definition of Affirmative Action. Affirmative action is not mere passive nondiscrimination. It includes procedures, methods, and programs for the identification, positive recruitment, training, and motivation of present and potential minority and female (minority and nonminority) apprentices including the establishment of goals and timetables. It is action which will equalize opportunity in apprenticeships so as to allow full use of the work potential of minorities and women. The overall result to be sought is equal opportunity in apprenticeships for all individuals participating in or seeking entrance to the State labor force.

C. Outreach and Positive Recruitment.

  (1) An acceptable affirmative action plan shall also include adequate provision for outreach and positive recruitment that would reasonably be expected to increase minority and female participation in apprenticeship by expanding the opportunity for minorities and women to become eligible for apprenticeship selection. To achieve these objectives, sponsors shall undertake activities such as those listed below. It is not contemplated that each sponsor necessarily will include all of the listed activities in its affirmative action program. The scope of the affirmative action program will depend on all the circumstances including the size and type of the program and its resources. However, the sponsor will be required to undertake a significant number of appropriate activities in order to enable it to meet its obligations under these regulations. The affirmative action plan shall set forth the specific steps the sponsor intends to take in the areas listed below. Whenever special circumstances warrant, the Council may provide the assistance it deems necessary to implement the requirements of this section.

  (2) Activities for Acceptable Affirmative Action Plan.

    (a) Dissemination of information concerning the nature of the apprenticeship, requirements for admission to apprenticeship, availability of apprenticeship opportunities, sources of apprenticeship applications, and the equal opportunity policy of the sponsor. For programs accepting applications only at specified intervals, the information shall be disseminated at least 30 days in advance of the earliest date for application at each interval. For programs customarily receiving applications throughout the year, the information shall be regularly disseminated but not less than semiannually. The information shall be given to the Council, local schools, employment service offices, women's centers, outreach programs and community organizations which can effectively reach minorities and women, and shall be published in newspapers which are circulated in the minority community and among women, as well as in the general areas in which the program sponsor operates.

    (b) Participation in annual workshops conducted by employment service agencies for the purpose of familiarizing school, employment service, and other appropriate personnel with the apprenticeship system and current opportunities therein.

    (c) Cooperation with local school boards and vocational education systems to develop programs for preparing students to meet the standards and criteria required to qualify for entry into apprenticeship programs.

    (d) Internal communication of the sponsor's equal opportunity policy in such a manner as to foster understanding, acceptance, and support among the sponsor's various officers, supervisors, employees, and members, and to encourage these persons to take the necessary action to aid the sponsor in meeting its obligations under these regulations.

    (e) Engaging in programs such as outreach for the positive recruitment and preparation of potential applicants for apprenticeships. When appropriate and feasible, these programs shall provide for pretesting experience and training. If no such programs are in existence the sponsor shall seek to initiate these programs, or, when available, to obtain financial assistance from the U.S. Department of Labor. In initiating and conducting these programs the sponsor may be required to work with other sponsors and appropriate community organizations. The sponsor shall also initiate programs to prepare women and encourage women to enter traditionally male programs.

    (f) To encourage the establishment and utilization of programs of preapprenticeship, preparatory trade training, or others designed to afford related work experience or to prepare candidates for apprenticeship, a sponsor shall make appropriate provision in its affirmative action plan to assure that those who complete these programs are afforded full and equal opportunity for admission into the apprenticeship program.

    (g) Utilization of journeypersons to assist in the implementation of the sponsor's affirmative action program.

    (h) Granting advanced standing or credit on the basis of previously acquired experience, training, skills, or aptitude for all applicants equally.

    (i) Other appropriate action to ensure that the recruitment, selection, employment, and training of apprentices during apprenticeship shall be without discrimination based on political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability (for example, general publication of apprenticeship opportunities and advantages in advertisements, industry reports, articles; use of present minority and female apprentices and journeypersons as recruiters; career counseling; periodic auditing of affirmative action programs and activities; and development of reasonable procedures between the sponsor and employers of apprentices to ensure that equal opportunity is being granted, including reporting systems, on-site reviews, briefing sessions). The affirmative action program shall set forth specific steps the sponsor intends to take, in the above areas under this section. Whenever special circumstances warrant, the Council may provide the assistance it deems necessary to implement the above requirements.

D. Goals and Timetables.

  (1) A sponsor adopting a selection method under Regulation .05B(1) or (2) of this chapter, which determines on the basis of the analysis described in §E of this regulation that it has deficiencies in terms of under-utilization of minorities or women (minority and nonminority) in the craft or crafts represented by the program, shall include in its affirmative action plan percentage goals and timetables for the admission of minority or female (minority and nonminority) applicants, as applicable, into the eligibility pool.

  (2) A sponsor adopting a selection method under Regulation .05B(3) or (4) of this chapter, which determines on the basis of the analysis described in §E of this regulation that it has deficiencies in terms of the under-utilization of minorities or women in the craft or crafts represented by the program, shall include in its affirmative action plan percentage goals and timetables for the selection of minority or female (minority and nonminority) applicants, as applicable, for the apprenticeship program.

  (3) “Under-utilization” as used in this section refers to the situation where there are fewer minorities or women (minority and nonminority) in the particular craft or crafts represented by the program than would reasonably be expected in view of an analysis of the specific factors in §E(1)—(5) of this regulation. When, on the basis of the analysis, the sponsor determines that it has no deficiencies, no goals or timetables need be established. However, if no goals and timetables are established, the affirmative action plan shall include a detailed explanation of why no goals and timetables have been established.

  (4) If the sponsor fails to submit goals and timetables as part of its affirmative action plan or submits goals and timetables which are unacceptable, and the Council determines that the sponsor has deficiencies in terms of under-utilization of minorities or women (minority and nonminority) within the meaning of this section, the Council shall establish goals and timetables applicable to the sponsor for the admission of minority and female (minority and nonminority) applicants into the eligibility pool or selection of apprentices, as appropriate. The sponsor shall make good-faith efforts to attain these goals and timetables in accordance with the requirements of this section.

E. Analysis to Determine Whether Deficiencies Exist. The sponsor's determination as to whether goals and timetables shall be established shall be based on an analysis of at least the following factors, which analysis shall be set forth in writing as part of the affirmative action plan:

  (1) The size of the working age minority and female (minority and nonminority) population in the program sponsor's labor market area;

  (2) The size of the minority and female (minority and nonminority) labor force in the program sponsor's labor market area;

  (3) The percentage of minority and female (minority and nonminority) participation as apprentices in the particular craft as compared with the percentage of minorities and women (minority and nonminority) in the labor force in the program sponsor's labor market area;

  (4) The percentage of minority and female (minority and nonminority) participation as journeypersons employed by the employer or employers participating in the program as compared with the percentage of minorities and women (minority and nonminority) in the sponsor's labor market area and the extent to which the sponsor should be expected to correct any deficiencies through the achievement of goals and timetables for the selection of apprentices; and

  (5) The general availability of minorities and women (minority and nonminority) with present or potential capacity for apprenticeships in the program sponsor's labor market area.

F. Establishment and Attainment of Goals and Timetables.

  (1) The goals and timetables shall be established on the basis of the sponsor's analysis of its under-utilization of minorities and women and its entire affirmative action program. A single goal for minorities and a separate single goal for women is acceptable unless a particular group is employed in a substantially disparate manner in which case separate goals shall be established for the group. Separate goals would be required, for example, if a specific minority group of women were under-utilized even though the sponsor had achieved its standards for women generally.

  (2) In establishing the goals, the sponsor should consider the results which could be reasonably expected from its good faith efforts to make its overall affirmative action program work. Compliance with these requirements shall be determined by whether the sponsor has met its goals within its timetable, or failing that, whether it has made good-faith efforts to meet its goals and timetables. Its good-faith efforts shall be judged by whether it is following its affirmative action program and attempting to make it work, including evaluation and changes in its program when necessary to obtain the maximum effectiveness toward the attainment of its goals.

  (3) However, in order to deal fairly with program sponsors, and with women who are entitled to protection under the goals and timetables requirements, during the first 12 months after the effective date of these regulations, the program sponsor would generally be expected to set a goal for women for the entering year class at a rate which is not less than 50 percent of the proportion women are of the workforce in the program sponsor's labor market area and set a percentage goal for women in each class beyond the entering class which is not less than the participation rate of women currently in the preceding class. At the end of the first 12 months after the effective date of these regulations, sponsors are expected to make appropriate adjustment in goal levels. (See Regulation .07B of this chapter).

G. Data and Information. 29 CFR §30.4(g) provides that the Secretary of Labor, U.S. Department of Labor, or a person designated by the Secretary of Labor, shall make available to program sponsors data and information on minority and female (minority and nonminority) population and labor force characteristics for each Standard Metropolitan Statistical Area (SMSA), and for other special areas as appropriate.

#### Regulation .05 Selection of Apprentices.

*COMAR 09.12.42.05*

A. Obligation of Sponsors. In addition to the development of a written affirmative action plan to ensure that minorities and women have an equal opportunity for selection as apprentices and otherwise ensure the prompt achievement of full and equal opportunity in apprenticeship, each sponsor shall further provide in its affirmative action program that the selection of apprentices shall be made under one of the methods specified in §B(1)—(4) of this regulation.

B. Selection Methods. The sponsor shall adopt one of the following methods for selecting apprentices:

  (1) Selection on the Basis of Rank from a Pool of Eligible Applicants.

    (a) Selection. A sponsor may select apprentices from a pool of eligible applicants created in accordance with the requirements of §B(1)(c) of this regulation on the basis of the rank order of scores of applicants on one or more qualification standards when there is a significant statistical relationship between rank order of scores and performance in the apprenticeship program. In demonstrating the relationship the sponsor shall follow the procedures set forth in “Guidelines on Employee Selection Procedures”, published at 41 CFR 60-3.

    (b) Requirements. The sponsor adopting this method of selecting apprentices shall meet the requirements of §B(1)(c)—(g) of this regulation.

    (c) Creation of Pool of Eligibles. A pool of eligibles shall be created from applicants who meet the qualifications of minimum legal working age, or from applicants who meet qualification standards in addition to minimum legal working age, provided that any additional qualification standards conform with the following requirements:

      (i) Qualification Standards. The qualification standards and the procedures for determining the qualification standards shall be stated in detail and shall provide criteria for the specific factors and attributes to be considered in evaluating applicants for admission to the pool. The score required under each qualification standard for admission to the pool shall also be specified. All qualification standards and the score required on any standard for admission to the pool shall be directly related to job performance, as shown by a significant statistical relationship between the score required for admission to the pool and performance in the apprenticeship program. In demonstrating these relationships, the sponsor shall follow the procedures set forth in 41 CFR 60-3. Qualifications shall be considered as separately required so that the failure of an applicant to attain the specified score under a single qualification standard shall disqualify the applicant from admission to the pool.

      (ii) Aptitude Tests. Any qualification standard for admission to the pool consisting of aptitude test scores shall be directly related to job performance, as shown by significant statistical relationships between the score on the aptitude tests required for admission to the pool, and performance in the apprenticeship program. In determining the relationship, the sponsor shall follow the procedures set forth in 41 CFR 60-3. The requirements of this subparagraph shall also be applicable to aptitude tests used by a program sponsor which are administered by a State employment service agency, or any other person, agency, or organization engaged in the selection or evaluation of personnel. A national test developed and administered by a national joint apprenticeship committee will not be approved by the Council unless the test meets the requirements of this subunit.

      (iii) Educational Attainments. All educational attainments or achievements as qualifications for admission to the pool shall be directly related to job performance as shown by a significant statistical relationship between the score required for admission to the pool and performance in the apprenticeship program. In demonstrating the relationship, the sponsor shall meet the requirements of 41 CFR 60-3. School records or a passing grade on the general education development tests recognized by the State or local public instruction authority shall be evidence of educational achievement. Education requirements shall be applied uniformly to all applicants.

    (d) Oral Interviews. Oral interviews may not be used as a qualification standard for admission into an eligibility pool. However, once an applicant is placed in the eligibility pool, and before selection for apprenticeship from the pool, he or she may be required to submit to an oral interview. Oral interviews shall be limited only to objective questions that may be required to determine the fitness of applicants to enter the apprenticeship program, but may not include questions relating to qualifications previously determined in gaining entrance to the eligibility pool. When an oral interview is used, each interviewer shall record the questions and the general nature of the applicant's answers, and shall prepare a summary of any conclusions. Each applicant rejected from the pool of eligibles on the basis of an oral interview shall be given a written statement of the rejection, the reasons for it, and the appeal rights available to the applicant.

    (e) Notification of Applicants. All applicants who meet the requirements for admission shall be notified and placed in the eligibility pool. The program sponsor shall give each rejected applicant who is not selected for the pool or the program notice of his or her rejection, including the reasons for the rejection, the requirements for admission to the pool of eligibles, and the appeal rights available to the applicant.

    (f) Goals and Timetables. The sponsor shall establish, when required by Regulation .04D of this chapter, percentage goals and timetables for the admission of minorities and women (minority and nonminority) into the pool of eligibles in accordance with the provisions of Regulation .04D, E, and F of this chapter.

    (g) Compliance. A sponsor shall be considered to be in compliance with its commitments under §B(1)(f) of this regulation if it meets its goals or timetables or if it makes a good-faith effort to meet these goals and timetables. If the sponsor fails to meet its goals and timetables, it shall be given an opportunity to demonstrate that it has made every good-faith effort to meet its commitments (see Regulation .04F of this chapter). All the actions of the sponsor shall be reviewed and evaluated in determining whether good-faith efforts have been made.

  (2) Random Selection from a Pool of Eligible Applicants.

    (a) Selection. A sponsor may select apprentices from a pool of eligible applicants on a random basis. The method of random selection is subject to approval by the Council. Supervision of the random selection process shall be by an impartial person or persons selected by the sponsor, but not associated with the administration of the apprenticeship program. The time and place of the selection, and the number of apprentices to be selected, shall be announced. The place of the selection shall be open to all applicants and the public. The names of apprentices drawn by this method shall be posted immediately following the selection at the program sponsor's place of business.

    (b) Requirements. The sponsor adopting this method of selecting apprentices shall meet the requirements of §B(1)(c)—(e) of this regulation relating to the creation of a pool of eligibles, oral interviews, and notification of applicants.

    (c) Goals and Timetables. The sponsor shall establish, when required by Regulation .04D of this chapter, percentage goals and timetables for the admission of minorities and women (minority and nonminority) into the pool of eligibles in accordance with the provisions of Regulation .04D, E, and F of this chapter.

    (d) Compliance. Determinations as to the sponsor's compliance with its obligations under these regulations shall be in accordance with the provisions of §B(1)(g) of this regulation.

  (3) Selection from a Pool of Current Employees.

    (a) Selection. A sponsor may select apprentices from an eligibility pool of the workers already employed by the program sponsor in a manner prescribed by a collective bargaining agreement when it exists, or by the sponsor's established promotion policy. The sponsor adopting this method of selecting apprentices shall establish goals and timetables for the selection of minority and female apprentices, unless the sponsor concludes, in accordance with the provisions of Regulation .04D, E, and F of this chapter, that it does not have deficiencies in terms of under-utilization of minorities or women (minority or nonminority) in the apprenticeship of journeyperson crafts represented by the program.

    (b) Compliance. Determinations as to the sponsor's compliance with obligations under these regulations shall be in accordance with the provisions of §B(1)(g) of this regulation.

  (4) Alternative Selection Methods.

    (a) Selection. A sponsor may select apprentices by means of any other method, including its present selection method, provided that the sponsor meets the following requirements:

      (i) Selection Method and Goals and Timetables. Within 90 days of the effective date of these regulations, the sponsor shall complete development of the revised selection method it proposes to use along with the rest of its written affirmative action program including, when required by Regulation .04D of this chapter, its percentage goals and timetables for the selection of minority and female (minority and nonminority) applicants for apprenticeship and its written analysis, upon which these goals and timetables, or lack of them, are based. The establishment of goals and timetables shall be in accordance with the provisions of Regulation .04D, E, and F of this chapter. The sponsor may not implement any selection method until the Council has approved the selection method as meeting the requirements of §B(4)(a)(ii) of this regulation and has approved the remainder of its affirmative action program including its goals and timetables. If the Council fails to act upon the selection method and the affirmative action program within 90 days of its submission, the sponsor may implement the selection method.

      (ii) Qualification standards. Apprentices shall be selected on the basis of objective and specific qualification standards. Examples of these standards are fair aptitude tests, school diplomas or equivalent, occupationally essential health requirements, fair interviews, school grades, and previous work experience. When interviews are used, adequate records shall be kept including a brief summary of each interview and the conclusions on each of the specific factors, for example, motivation, ambition, and willingness to accept direction, which are part of the total judgment. In applying these standards, the sponsor shall meet the requirements of 41 CFR 60-3.

    (b) Compliance. Determinations as to the sponsor's compliance with its obligations under these regulations shall be in accordance with the provisions of §B(1)(g) of this regulation. When a sponsor, despite its good-faith efforts, fails to meet its goals and timetables within a reasonable period of time, the sponsor may be required to make appropriate changes in its affirmative action program to the extent necessary to obtain maximum effectiveness toward the attainment of its goals. The sponsor may also be required to develop and adopt an alternative selection method, including a method prescribed by the Council, when it is determined that the failure of the sponsor to meet its goals is attributable in substantial part to the selection method. When the sponsor's failure to meet its goals is attributable in substantial part to its use of a qualification standard which has adversely affected the opportunities of minorities and women (minority and nonminority) for apprenticeship, the sponsor may be required to demonstrate that this qualification standard is directly related to job performance in accordance with the provisions of §B(1)(c)(i) of this regulation.

#### Regulation .06 Existing List of Eligibles and Public Notice.

*COMAR 09.12.42.06*

A. A sponsor adopting a selection method under Regulation .05B(1) or (2) of this chapter, and a sponsor adopting a selection method under Regulation .05B(4)  who determines that there are fewer minorities and women (minority and nonminority) on its existing lists of eligibles than would reasonably be expected in view of the analysis described in Regulation .04E of this chapter shall discard all existing eligibility lists upon adoption of the selection methods required by these regulations.

B. New eligibility pools shall be established and lists of eligibility pools shall be posted at the sponsor's place of business. Sponsors shall establish a reasonable period of not less than 2 weeks for accepting applications for admission to an apprenticeship program. There will be at least 30 days of public notice in advance of the earliest date for application for admission to the apprenticeship program (see Regulation .04C of this chapter on affirmative action with respect to dissemination of information). Applicants who have been placed in a pool of eligibles shall be retained on lists of eligibles subject to selection for a period of 2 years. Applicants may be removed from the list at an earlier date by their request or following their failure to respond to an apprentice job opportunity given by certified mail, return receipt requested.

C. Applicants who have been accepted in the program shall be afforded a reasonable period of time in light of the customs and practices of the industry for reporting for work. All applicants shall be treated equally in determining this period of time. It shall be the responsibility of the applicant to keep the sponsor informed of his or her current mailing address. Upon request, a sponsor may restore to the list of eligibles applicants who have been removed from the list or who have failed to respond to an apprenticeship job opportunity.

#### Regulation .07 Records.

*COMAR 09.12.42.07*

A. Obligations of Sponsors. Each sponsor shall keep adequate records including a summary of the qualifications of each applicant; the basis for evaluation and for selection or rejection of each applicant; the records pertaining to interviews of applicants; the original application for each applicant; information relative to the operation of the apprenticeship program, including but not limited to job assignment, promotion, demotion, layoff, or termination, rates of pay, or other forms of compensation or conditions of work, hours including hours of work and separately, hours of training provided; and any other records pertinent to a determination of compliance with these regulations, as may be required by the Council. The records pertaining to individual applicants, selected or rejected, shall be maintained in such manner as to permit identification of minority and female (minority and nonminority) participants.

B. Affirmative Action Plans. Each sponsor shall retain a statement of its affirmative action plan required by Regulation .04 of this chapter for the prompt achievement of full and equal opportunity in apprenticeship, including all data and analyses made pursuant to the requirements of Regulation .04. Sponsors shall review their affirmative action plans annually and update them when necessary, including the goals and timetables.

C. Qualification Standards. Each sponsor shall maintain evidence that its qualification standards have been validated in accordance with the requirements set forth in Regulation .05B of this chapter.

D. Records of the Council. The Council shall keep adequate records, including registration requirements, individual program standards and registration records, program compliance reviews and investigations, and any other records pertinent to a determination of compliance with these regulations as may be required by the U.S. Department of Labor and shall report to the Department as may be required by it.

E. Maintenance of Records. The records required by these regulations and any other information relevant to compliance with these regulations shall be maintained for 5 years and made available upon request to the Council or its authorized representative.

#### Regulation .08 Compliance Reviews.

*COMAR 09.12.42.08*

A. Conduct of Compliance Reviews. The Council will regularly conduct systematic reviews of apprenticeship programs in order to determine the extent to which sponsors are complying with these regulations and will also conduct compliance reviews when circumstances, including receipt of complaints not referred to a private review body pursuant to Regulation .10B(1) of this chapter, so warrant, and take appropriate action regarding programs which are not in compliance with the requirements of these regulations. Compliance reviews will consist of comprehensive analyses and evaluations of each aspect of the apprenticeship program, including on-site investigations and audits.

B. Reregistration. Sponsors seeking reregistration shall be subject to a compliance review as described in §A of this regulation by the Council as part of the reregistration process.

C. New Registrations. Sponsors seeking new registrations shall be subject to a compliance review as described in §A of this regulation by the Council as part of the registration process.

D. Voluntary Compliance. When the compliance review indicates that the sponsor is not operating in accordance with these regulations, the Council shall notify the sponsor in writing of the results of the review and make a reasonable effort to secure voluntary compliance on the part of the program sponsor within a reasonable time before undertaking sanctions under Regulation .12 of this chapter. In the case of sponsors seeking new registration, the Council will provide appropriate recommendations to the sponsor to enable it to achieve compliance for registration purposes.

#### Regulation .09 Noncompliance with Federal and State Equal Opportunity Requirements.

*COMAR 09.12.42.09*

A pattern or practice of noncompliance by a sponsor (or when the sponsor is a joint apprenticeship committee, by one of the parties represented on this committee) with federal and State laws or regulations requiring equal opportunity may be grounds for the imposition of sanctions in accordance with Regulation .12 of this chapter if this noncompliance is related to the equal employment opportunity of apprentices and graduates of an apprenticeship program under these regulations. The sponsor shall take affirmative steps to assist and cooperate with employers and unions in fulfilling their equal employment opportunity obligations.

#### Regulation .10 Complaint Procedure.

*COMAR 09.12.42.10*

A. Filing.

  (1) Any apprentice or applicant for apprenticeship who believes that he or she has been discriminated against on the basis of political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability with regard to apprenticeship or that the equal opportunity standards with respect to his or her selection have not been followed in the operation of an apprenticeship program may, personally or through an authorized representative, file a complaint with the Council, or, at the apprentice's or applicant's election, with a private review body established pursuant to §A(3) of this regulation. The complaint shall be in writing and shall be signed by the complainant. It shall include the name, address, and telephone number of the person allegedly discriminated against, the program sponsor involved, and a brief description of the circumstances of the failure to apply the equal opportunity standards provided for in this chapter.

  (2) The complaint shall be filed not later than 180 days from the date of the alleged discrimination or specified failure to follow the equal opportunity standards; and, in the case of complaints filed directly with review bodies designated by program sponsors to review these complaints, any referral of this complaint by the complainant to the Council shall occur within the time limitation stated above or 30 days from the final decision of the review body, whichever is later. The time may be extended by the Council for good cause shown.

  (3) Sponsors are encouraged to establish fair, speedy, and effective procedures for a review body to consider complaints of failure to follow the equal opportunity standards. A private review body established by the program sponsor for this purpose should number three or more responsible persons from the community serving in this capacity without compensation. Members of the review body should not be directly associated with the administration of an apprenticeship program. Sponsors may join together in establishing a review body to serve the needs of programs within the community.

B. Processing of Complaints.

  (1) When the sponsor has designated a review body for reviewing complaints, the Council, unless the complainant has indicated otherwise or unless the Council has determined that the review body will not effectively enforce the equal opportunity standards, shall upon receiving a complaint refer it to the review body. The Council shall, within 30 days following the referral of a complaint to the review body, obtain reports from the complainant and the review body as to the disposition of the complaint. If the complaint has been satisfactorily adjusted, and there is no other indication of failure to apply equal opportunity standards, the case shall be closed and the parties appropriately informed. When a complaint has not been resolved by the review body within 90 days or when, despite satisfactory resolution of the particular complaint by the review body, there is evidence that the equal opportunity practices of the apprenticeship program are not in accordance with this chapter, the Council may conduct such compliance review as found necessary and will take all necessary steps to resolve the complaint.

  (2) If no review body exists, the Council may conduct a compliance review as found necessary in order to determine the facts of the complaint, and obtain such other information relating to compliance with these regulations as the circumstances warrant.

  (3) Sponsors shall provide written notice of the above complaint procedure to all applicants for apprenticeship and all apprentices.

#### Regulation .11 Adjustments in Schedule for Compliance Review or Complaint Processing.

*COMAR 09.12.42.11*

If, in the judgment of the Council, a particular situation warrants and requires special processing and either expedited or extended determination, it shall take the steps necessary to permit this determination if it finds that no person or party affected by the determination will be prejudiced by the special processing.

#### Regulation .12 Sanctions.

*COMAR 09.12.42.12*

A. When the Council, as a result of a compliance review or other reason, determines that there is reasonable cause to believe that an apprenticeship program is not operating in accordance with this chapter and voluntary corrective action has not been taken by the program sponsor, the Council shall institute proceedings to deregister the program or it shall refer the matter to the Attorney General for the institution of a court action as authorized by law.

B. The Council delegates to the Office of Administrative Hearings the authority to conduct deregistration hearings and submit in writing to the Council proposed findings of fact and recommended decisions.

C. Deregistration proceedings shall be conducted in accordance with the following procedures:

  (1) The Council shall notify the sponsor, in writing, that a determination of reasonable cause has been made under §A of this regulation and that the apprenticeship program may be deregistered unless, within 15 days of the receipt of the notice, the sponsor requests a hearing. The notification shall specify the facts on which the determination is based.

  (2) If, within 15 days of the receipt of the notice provided for in §C(1) of this regulation, the sponsor mails a request for a hearing, the Council shall request that the Office of Administrative Hearings convene a hearing in accordance with Regulation .14 of this chapter.

  (3) The Council shall make a final decision on the basis of the record, which shall consist of the compliance review file and other evidence presented and, if a hearing was conducted pursuant to Regulation .14 of this chapter, the proposed findings and recommended decision of the administrative law judge. The Council may allow the sponsor a reasonable time to achieve voluntary corrective action. If, after any time allowed by the Council in its discretion for voluntary corrective action, the Council's decision is that the apprenticeship program is not operating in accordance with these regulations, the apprenticeship program shall be deregistered. In each case in which deregistration is ordered, the Council shall make public notice of the order and shall notify the sponsor and the complainant, if any, and the U.S. Department of Labor.

#### Regulation .13 Reinstatement of Program Registration.

*COMAR 09.12.42.13*

Any apprenticeship program deregistered pursuant to this chapter may be reinstated upon presentation of adequate evidence to the Council that the apprenticeship program is operating in accordance with this chapter.

#### Regulation .14 Hearings.

*COMAR 09.12.42.14*

A. Procedure for Hearings.

  (1) Within 10 days after receiving a request for a hearing, the Council shall request that the Office of Administrative Hearings designate an administrative law judge.

  (2) The administrative law judge shall give reasonable notice of the hearing by certified mail, return receipt requested, to the sponsor.

  (3) The notice shall include a:

    (a) Reasonable time and place of hearing;

    (b) Statement of the provisions of this chapter pursuant to which the hearing is to be held; and

    (c) Concise statement of the matters pursuant to which the action forming the basis of the hearing is proposed to be taken.

B. The administrative law judge shall regulate the course of the hearing. Hearings shall be informally conducted. Every party shall have the right to counsel, and a fair opportunity to present his or her case including such cross-examination as may be appropriate in the circumstances. The administrative law judge shall make proposed findings and recommended decisions to the Council upon the basis of the record.

#### Regulation .15 Intimidatory or Retaliatory Acts.

*COMAR 09.12.42.15*

Any intimidation, threat, coercion, or retaliation by or with the approval of any sponsor against any person for the purpose of interfering with any right or privilege secured by Title VII of the Civil Rights Act of 1964, as amended, Executive Order 11246, as amended, or because he or she has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this chapter shall be considered noncompliance with the equal opportunity standards of this chapter. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purpose of this chapter including the conduct of any investigation, hearing, or judicial proceeding arising therefrom.

#### Regulation .16 Nondiscrimination.

*COMAR 09.12.42.16*

The commitments contained in the sponsor's affirmative action program are not intended and may not be used to discriminate against any qualified applicant or apprentice on the basis of political or religious opinion or affiliation, marital status, race, color, creed, national origin, sex, or age, unless sex or age constitutes a bona fide occupational qualification, or the physical or mental disability of a qualified individual with a disability.

#### Regulation .17 Exemptions.

*COMAR 09.12.42.17*

Requests for exemption from this chapter, or any part of it, shall be made in writing to the Council and shall contain a statement or reasons supporting the request. Exemptions may be granted by the Council or the Secretary of Labor for good cause. The Council shall notify the U.S. Department of Labor of any exemptions granted affecting a substantial number of employees and the reasons for them.