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<chapter num="04" heading="Contractor's Affirmative Action Plan Review/Approval and Compliance Monitoring Process — DOT" title_num="21" subtitle_num="11">
  <regulation prefix="Regulation" num=".01" heading="Definitions.">
    <paragraph num="A.">
      <text>In this chapter, the following words have the meanings indicated.</text>
    </paragraph>
    <paragraph num="B.">
      <text>Terms Defined.</text>
      <paragraph num="(1)">
        <text>“Administration” means any one of the following units of the Department of Transportation:</text>
        <paragraph num="(a)">
          <text>Maryland Port Administration;</text>
        </paragraph>
        <paragraph num="(b)">
          <text>Motor Vehicle Administration;</text>
        </paragraph>
        <paragraph num="(c)">
          <text>State Aviation Administration;</text>
        </paragraph>
        <paragraph num="(d)">
          <text>State Highway Administration;</text>
        </paragraph>
        <paragraph num="(e)">
          <text>Maryland Transportation Authority;</text>
        </paragraph>
        <paragraph num="(f)">
          <text>Mass Transit Administration;</text>
        </paragraph>
        <paragraph num="(g)">
          <text>State Railroad Administration; and</text>
        </paragraph>
        <paragraph num="(h)">
          <text>Office of Assistant Secretary, Administration.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(2)">
        <text>“Administration Equal Opportunity (EO) Officer” means an employee of the Department skilled in civil rights policies, practices, procedures, and equal opportunity compliance review and evaluation functions.</text>
      </paragraph>
      <paragraph num="(3)">
        <text>“Administrator” means the chief executive officer of an administration.</text>
      </paragraph>
      <paragraph num="(4)">
        <text>“Affirmative actions” means the efforts exerted toward achieving equal employment opportunity (EEO) through positive, aggressive, and continuous results-oriented measures to correct past and present discriminatory practices and their effects on the conditions and privileges of employment.</text>
      </paragraph>
      <paragraph num="(5)">
        <text>“Board representative” means the official appointed by the Board to review contractor affirmative action plans.</text>
      </paragraph>
      <paragraph num="(6)">
        <text>“Certification” means the action by which the Board Representative acknowledges that the contractor's affirmative action plan meets the requirements as presented by Article III, §C of the Governor's Amended Code of Fair Practices.</text>
      </paragraph>
      <paragraph num="(7)">
        <text>“Community resources list” means a compilation of local or State-wide organizations, agencies, community groups, and leaders, prepared as a guide for use by a contractor in implementing the contractor's affirmative action plan.</text>
      </paragraph>
      <paragraph num="(8)">
        <text>“Contractor affirmative action plan compliance monitoring process” means the procedure used by the Department to assure that contractors are complying with their affirmative action requirements.</text>
      </paragraph>
      <paragraph num="(9)">
        <text>“Corrective action” means specific actions, as included in the contractor's written and signed commitment to be taken with time limits and goals, to remedy a violation of applicable equal employment opportunity regulations.</text>
      </paragraph>
      <paragraph num="(10)">
        <text>“Discrimination” means a distinction in treatment, whether intentional or unintentional, based on political or religious opinion or affiliation, race, color, creed, national origin, sex, physical or mental handicap, or age, except when sex, handicap, or age involves a bona fide job requirement.</text>
      </paragraph>
      <paragraph num="(11)">
        <text>“Equal employment opportunity requirements” means all contract provisions relative to equal employment opportunity.</text>
      </paragraph>
      <paragraph num="(12)">
        <text>“Equal employment opportunity (EEO)” means the absence of partiality or distinction in employment treatment, so that the rights of all persons to work and advance on the basis of merit, ability, and potential are maintained.</text>
      </paragraph>
      <paragraph num="(13)">
        <text>“E.E.O.C.” means the Federal Equal Employment Opportunity Commission.</text>
      </paragraph>
      <paragraph num="(14)">
        <text>“Equal opportunity compliance review” means an evaluation and determination of a contractor's or subcontractor's compliance with equal opportunity requirements.</text>
      </paragraph>
      <paragraph num="(15)">
        <text>“Good faith effort” means a results-oriented positive action designed to achieve an affirmative action objective or goal.</text>
      </paragraph>
      <paragraph num="(16)">
        <text>“Office of the Secretary, Contract Staff” means the unit within the Office of the Secretary responsible for meeting with the Board on contractual matters other than certification as defined above.</text>
      </paragraph>
      <paragraph num="(17)">
        <text>“Show cause notice” means a written notification to a contractor based on the determination of an equal-opportunity officer indicating non-compliance with the equal opportunity requirements as provided for in the special provisions of the bid document, and the contractor's affirmative action plan, and Article III of the Executive Order promulgating the Code of Fair Practices (amended).</text>
      </paragraph>
      <paragraph num="(18)">
        <text>“Special provisions respecting contractor affirmative action plans” means the equal opportunity requirements which, when translated into an affirmative action plan, legally obligates the contractor to take affirmative actions as provided for in the contractor's affirmative action plan.</text>
      </paragraph>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".02" heading="Contractor Affirmative Action Plan Review/Approval Process.">
    <paragraph num="A.">
      <text>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.</text>
    </paragraph>
    <paragraph num="B.">
      <text>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.</text>
    </paragraph>
    <paragraph num="C.">
      <text>Submissions. The vendors shall submit their bids or proposals in accordance with instructions issued by an Administration.</text>
    </paragraph>
    <paragraph num="D.">
      <text>Selection of Contractor. The Administration shall select the responsible bidder or offeror submitting the most favorable bid or most advantageous offer.</text>
    </paragraph>
    <paragraph num="E.">
      <text>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.</text>
    </paragraph>
    <paragraph num="F.">
      <text>Board of Public Works Action. The Board reviews and approves the contract.</text>
    </paragraph>
    <paragraph num="G.">
      <text>Administration Action. The Administration issues a “Notice to Proceed”.</text>
    </paragraph>
  </regulation>
  <regulation prefix="Regulation" num=".03" heading="Contractor Affirmative Action Plan Compliance Monitoring Process.">
    <paragraph num="A.">
      <text>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.</text>
    </paragraph>
    <paragraph num="B.">
      <text>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.</text>
    </paragraph>
    <paragraph num="C.">
      <text>The following points shall be considered made when priorities are established for an on-site compliance review:</text>
      <paragraph num="(1)">
        <text>Whether there has been compliance with the approved affirmative action plan based on an evaluation of reports and documents;</text>
      </paragraph>
      <paragraph num="(2)">
        <text>Whether contracts are being performed in a geographic area where there is a significant minority labor force or female labor force, or both, within a reasonable recruitment area;</text>
      </paragraph>
      <paragraph num="(3)">
        <text>Whether contracts are being let which hold a great potential for employment and promotion of minorities and women.</text>
      </paragraph>
    </paragraph>
    <paragraph num="D.">
      <text>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.</text>
    </paragraph>
    <paragraph num="E.">
      <text>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.</text>
    </paragraph>
    <paragraph num="F.">
      <text>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.</text>
    </paragraph>
    <paragraph num="G.">
      <text>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.</text>
    </paragraph>
    <paragraph num="H.">
      <text>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.</text>
    </paragraph>
    <paragraph num="I.">
      <text>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.</text>
    </paragraph>
    <paragraph num="J.">
      <text>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.</text>
    </paragraph>
    <paragraph num="K.">
      <text>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.</text>
    </paragraph>
    <paragraph num="L.">
      <text>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.</text>
    </paragraph>
    <paragraph num="M.">
      <text>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.</text>
    </paragraph>
  </regulation>
  <annotations>
    <annotation type="Authority">State Finance and Procurement Article, §12-101, Annotated Code of Maryland</annotation>
    <annotation type="History" subtype="Administrative History">Effective date: July 1, 1981 (8:13 Md. R. II-5)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .01 amended effective January 9, 1989 (15:27 Md. R. 3138)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .01B amended effective May 2, 2022 (49:9 Md. R. 531)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .02 amended effective January 9, 1989 (15:27 Md. R. 3138)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .03 amended effective January 9, 1989 (15:27 Md. R. 3138)</annotation>
    <annotation type="History" subtype="Administrative History">Regulations .03I amended effective May 2, 2022 (49:9 Md. R. 531)</annotation>
  </annotations>
</chapter>