Affirmative Action Plan Requirements

Plan Requirements

An affirmative action plan submitted to the department must contain the following required ingredients:

  • Policy statement
  • Assignment of affirmative action/equal employment opportunity responsibilities
  • Procedures for dissemination of policy and plan
  • Workforce analysis, including availability and utilization analyses
  • Goals, objectives and timetables for completion
  • Identification of deficiencies or problem areas
  • Measures to facilitate implementation of policy and plan
  • Internal audit and reporting systems
  • Disabled individuals plan

Technical Assistance

The department will provide technical assistance in the development, modification and implementation of affirmative action plans.

In the event a contractor's certificate of compliance is revoked, the department will provide technical assistance to enable the contractor to be re-certified.

Compliance Review Procedures

Desk Audit

A desk audit will be routinely performed for all affirmative action plans submitted and will include:

  • Evaluation of affirmative action plan and supporting documentation
  • Review of workforce analysis

Audit Review

An audit review to determine compliance will include:

  • Thorough review of data contained in or in support of the plan
  • In-depth analysis when apparent deficiencies are determined in contractor's utilization of minorities, women or qualified disabled individuals.
  • Employee interviews as appropriate
  • Review of any other materials relevant to determination of compliance.

Determination of Compliance Status

Determination of a contractor's compliance status will be based upon the following criteria:

  • Contents of the affirmative action plan
  • Extent of adherence to the plan
  • Extent of good faith efforts to implement the plan


Non-Certified Contractors

If a contract is awarded to a business that does not have a certificate, but is required to have one, the commissioner may void the contract on behalf of the state.

Certified Contractors

If a certificate holder does not effectively implement an affirmative action plan approved by the commissioner, or fails to make a good faith effort to do so, notice will be given to the contractor along with specific measures required to correct the deficiencies. Failure to respond to the notice may result in:

  • Suspension or revocation of the certificate
  • Refusal to approve subsequent plans submitted
  • Termination or abridgement of a contract awarded by a department or state agency.

A contractor may request and obtain a hearing regarding the department's determination of deficiencies or sanctions.

Responsibilities of Contracting State Agencies

Under the Minnesota Human Rights Act, Section 363A.36 and its implementing rules, each contracting state agency is required to:

  • Include in each contract the contractor's obligations under the law and related rules.
  • Include in each covered contract an affirmative action clause stating the intentions of the agency to carry out its responsibility for requiring affirmative action by its contractors and the consequences for failure to do so
  • Provide the contractor with documentation describing the law and rules and provide each bidder with a copy of 363A.36 or any rule relating to it
  • Provide to the department any information which indicates a contractor is not in compliance with section 363A.36 or any rule relating to it
  • Submit to the department a list of prospective bidders prior to the opening of a bid
  • Provide the department with information or assistance deemed necessary to seek compliance with the law
  • Provide the department with a list of prospective bidders prior to the opening of a bid
  • Cooperate with the commissioner in implementing the contract compliance statute and rules.

The Department of Human Rights shall furnish to state agencies on a monthly basis a list of currently certified contractors and those contractors whose certificates of compliance have been suspended or revoked or who are ineligible to bid on state contracts.

Answers to questions about certificates of compliance and affirmative action plans can be found in FAQ: AA Plans.