Chapter 04. Contractor's Affirmative Action Plan Review/Approval and Compliance Monitoring Process — DOT

In this chapter, the following words have the meanings indicated.

Terms Defined.

Contract Advertisement. All bids or offers on construction contracts shall include the Pre-Approved Contractor Affirmative Action Plan which outlines the contractor's and subcontractors' responsibilities to insure equal opportunity. When vendors secure the project plans and specifications, with the provisions included, they also shall receive a copy of the Minority Business Enterprise List and the Community Resources List to use as reference materials in developing and implementing their Affirmative Action Plans.

Pre-Bid or Pre-Proposal Conference. When a pre-bid or pre-proposal conference is held, the Administration Equal Opportunity Officer shall explain the Pre-Approved Contractor Affirmative Action Plan and the use of resource materials provided to assist contractors in implementing their Affirmative Action Plans if they are selected as the successful bidder or offeror.

Submissions. The vendors shall submit their bids or proposals in accordance with instructions issued by an Administration.

Selection of Contractor. The Administration shall select the responsible bidder or offeror submitting the most favorable bid or most advantageous offer.

Administration Submittal. The Administration shall submit the Pre-Approved Contractor Affirmative Action Plan along with other contract documents to the Contract Unit, OASA for the Board's action.

Board of Public Works Action. The Board reviews and approves the contract.

Administration Action. The Administration issues a “Notice to Proceed”.

Once the Board has approved a contract, and a “notice to proceed” has been issued by the Administration, the formal contractor affirmative action plan compliance monitoring process begins and continues throughout the life of the contract.

The Administration's equal opportunity officer will contact the contractor to review specific compliance requirements and to give the contractor a compliance assistance package containing suggested guidelines and forms.

The following points shall be considered made when priorities are established for an on-site compliance review:

The Administration's equal opportunity officer shall provide written notification to the contractor (copies to the Administrator and the DOT equal opportunity officer) of a pending compliance review at least 14 days before the on-site verification and interview stage of the compliance process. This will also serve as notification to the contractor of the scheduled date and location of the review and the time period to be covered by the review.

The Administration's equal opportunity officer will conduct an on-site inspection of the project and inspect records to assure compliance with the contractor's approved affirmative action plan.

There shall be an exit conference at which time the Administration's equal opportunity officer shall discuss any preliminary findings with the contractor that could lead to a determination of non-compliance. The Administration's equal opportunity officer shall discuss both the voluntary corrective actions that may have been implemented as a result of the visit and also the process and time by which the contractor will be informed of the final compliance determination.

After the completion of the on-site verification phase, the Administration's equal opportunity officer shall review all available information including that which was provided by the contractor and obtained from on-site visits and also prepare a status report indicating compliance or non-compliance. A copy of the report shall be provided to the contractor.

If the Administration's equal employment officer determines that the contractor is in compliance, the contractor shall receive written notification to that effect and copies of the notification shall be sent to the DOT equal opportunity officer, the Administrator, and the Board representative.

If it is determined that a contractor appears not to be in compliance with the affirmative action plan, the Administrator or designated representative shall issue a “show-cause notice”. This notice demands that the contractor show cause why the contractor should not be found not to be in compliance. This notice shall delineate a list of the deficiencies, establish a compliance conference date, outline the possible administrative actions that can be taken, and provide a forum for the contractor to present the contractor's case.

A compliance conference shall be held by the Administrator or a designated representative, the Administration's equal opportunity officer, and the contractor to discuss the deficiencies.

If a contractor corrects the deficiencies, the “show-cause notice” shall be rescinded. The contractor shall be so notified, by letter, confirming that the contractor is in compliance.

If a contractor refuses to make the necessary corrections to cause a rescission of the “show-cause notice”, the Administrator shall take the appropriate steps to begin administrative action to compel the contractor to comply with the affirmative action plan.

Except for those contracts that go before the Board for approval, the Secretary of Transportation shall have the final approval on all administrative actions imposed on contractors found to remain not in compliance. In those instances when the Board has the final authority, the Secretary shall recommend that sanctions be imposed.