Ohio Department of Job and Family ServicesOhio State Apprenticeship Council

Surviving a Compliance Review

Connie Sink

• For ease of this presentation, please note that the following slides do not represent the entire rule from each section of the Ohio Administrative Code 5101:11

• Please refer to the hand-outs of the Ohio Administrative Code 5101:11 for exact language and/or clarification

• The Council will conduct regular and systematic reviews of apprenticeship programs to determine the extent of their compliance with the rules of the Ohio Administrative Code

• Reviews will consist of comprehensive analysis and evaluation of every aspect of the program that include on-site investigations and audits

• Sponsors seeking new registration or re-registration shall be subject to a compliance review as part of the registration or re-registration process

• Special reviews can take place from a complaint based on a pattern of non-compliance, (if the Council determines that such a pattern or practice of non-compliance may be occurring, they will determine whether there is reasonable cause to believe that an apprenticeship program is not operating in accordance with the laws of the Administrative Code

• Appropriate action will be taken regarding programs which are found non-compliant

– State and Federal Code– Equal Opportunity Pledge– Applicant Qualifications– Credit for Previous

Experience– Apprenticeship Agreement– Term of Apprenticeship– Probationary Period– Schedule of Work Process– Related Technical Training– Safety– Supervision– Ratio

– Hours and Conditions of work– Wages– Continuous Employment– Disposition of Complaints– Cancellation of Agreement– Period Evaluation– Certification of Completion– Records– Reports– Registration of Program– Modifications, Cancellations and

Deregistration

NOTE: If a program has 5 or more apprentices registered: An Affirmative Action Plan and a defined Selection Process must be a part of the Standards

Program Standards

• Apprenticeship Announcement Opportunities

• Who was contacted? (agency, person)• When were they contacted? (mm-dd-yy)• Where are they located? (city, state)• How were they contacted? (mailings, career fairs)• Sources utilized (newspapers, websites)

5101:11-3-04 Records

• Qualification criteria, stated in detail

• Minimum age limits• Physical fitness• Aptitude test• Other tests• Education• Other specific criteria detailed

5101:11-3-04 Records

Application Logs:• A summary of the qualifications of each applicant

• Date that applications were taken• Who applied?• Race• Gender• Aptitude test (if applicable)• Applicant score

5101:11-3-04 Records

Applicant Records:• Documents related to qualifications• Records pertaining to interview• Original application• Interview questions• Applicant rating form/include interview and test

scores• Notification to applicant regarding qualification/or

lack of qualifications• Records pertaining to those selected or rejected

5101:11-3-04 Records

Apprentice Records• Original application• Apprentice qualifications• Interview records• Test results• Ranking list• Basis for selection• Documentation

• Apprenticeship Agreement• OJT Assignments• Promotions and demotions• Layoffs/Terminations• Wages, incremental increases• Work processes completed• RTI to include hours, tests,

attendance reports, grades• Apprentice actions, including

disciplinary actions• Other pertinent records

5101:11-3-04 Records

5 year maintenance of records made available for Council review

Uniformly apply rules and regulations concerning apprenticesincluding but not limited to:

• Equality of wages• Credit for previous training• Periodic advancement• Promotion• Assignment of work• Job Performance• Rotation among all work processes• Penalties or other disciplinary action

5101:11-4-01 Equal Opportunity Requirements

Sponsors shall adhere to the Equal Opportunity Pledge as

follows:

• The recruitment, selection, employment and training of apprentices shall be conducted without discrimination because of race, color, religion, national origin, age or sex. The sponsor shall take affirmative action to provide equal opportunity in its apprenticeship program as required under Title 29 of the Code of Federal Regulations, Part 30; and the Ohio Administrative Code 5101:11; and the equal employment opportunity regulations of the State of Ohio.

5101:11-4-01 Equal Opportunity Requirements

Defined Selection Procedure for programs with 5 or more apprentices• Selection of applicants shall be applied consistently and fairly and shall stipulate one of

the following methods which is defined in detail in the Standards and is approved by Council.

• Creation of Eligibility Pool• Define qualification of applicants

IE: Diplomas, school courses, GED, occupationally relevant health exams

• Define factors and attributes to be considered in evaluating applicants for admission to the pool using a scoring system

Be consistent, equal and results must be documented IE: Objective interviews, testing, aptitude tests

• Selection can be made based on rank order or random (lottery)

• Applicant notification, including the reasons for acceptance or rejection

5101:11-3-02 Selection of Apprentices

Selection from current employees: (Restricted Pool)

• A Sponsor may select from current employees or an affiliate of the Sponsor (IE: collective bargaining agreement)

• Through the established promotion policy, provided it is in the Standards and is deemed to be fair and impartial

5101:11-3-02 Selection of Apprentices

Alternative selection method (Alternative)

• A Sponsor may select apprentices by means of any other method, provided it is based on objective and specific criteria

• Selection for program can be by rank order, as defined in your Standards, but not limited to eligibility pool

• IE: Direct Entry

– Job Corp, Helmet to Hardhats, Organizing Efforts

5101:11-3-02 Selection of Apprentices

When using the “Selection from a Pool or Alternative Selection Methods”

• Sponsor must establish a reasonable period of not less than 2 weeks for accepting applications

• There should be at least 30 days of public notice prior to accepting applications

• The name of each applicant on the pool of eligibles shall be retained in the pool for a period of 2 years unless the applicant requests removal or fails to respond to notice of opportunity (by certified mail)

5101:11-3-02 Selection of Apprentices

• The Sponsor shall give each applicant who is not selected for the program, notice of his or her non-selection, including the reason(s) for the non-selection, the requirements for selection and the appeal rights

• It is the responsibility of the applicant to keep the Sponsor informed of the current contact information

5101:11-3-02 Selection of Apprentices

• Affirmative Action is not mere passive non-discrimination

• It includes procedures, methods and programs for the identification, positive recruitment, training and motivation of minority and female apprentices including the establishment of goals and timetables

5101:11-4-02 Affirmative Action Plan

Programs with 5 or more apprentices, must have a written and approved Affirmative Action Plan

Outreach and positive recruitment• Must include provisions for outreach and positive recruitment

that would reasonably be expected to increase minorities and females to become eligible for apprenticeship selection

• Include requirements for admission to apprenticeship

• For programs who accept applications at specific intervals, must disseminate information 30 days in advance

5101:11-4-02 Affirmative Action Plan

• For programs who take applications throughout the year, must disseminate information not less than 2 times annually

• Dissemination:• Dissemination of information concerning the nature

and benefits of apprenticeship, including requirements for admission, availability of apprenticeship opportunities, sources of apprenticeship applications and the EEO policy of the Sponsor

5101:11-4-02 Affirmative Action Plan

• Dissemination to the Council, local schools, employment and service offices, WIA offices, one-stop offices, women’s centers, community organizations and outreach programs who can effectively reach minorities, women and the general public

– IE: copies of media clippings, copies of notices to participate, participation in EEO workshops, cooperation and involvement with Career Technical Centers

• 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

• Cooperation with local school boards and Career Technical Centers to develop programs for preparing students to meet the criteria for entry into apprenticeship programs

5101:11-4-02 Affirmative Action Plan

• Internal communication of the Sponsors EEO policy to foster acceptance and support among the employees, supervisors, members and officers

• Utilization of journey persons to assist in the implementation of the AAP

5101:11-4-02 Affirmative Action Plan

• Other appropriate activities to include:

– General publicity about apprentice opportunities

– Advertisements industry reports, articles

– Use of present minority and female apprentices and journey persons as recruiters

– Career counseling

– Collaboration with other entities

• Other Sponsors (Coordinators Group)• Community organizations (Hard Hatted Women, NAWIC

5101:11-4-02 Affirmative Action Plan

• Where registered training is for a traditionally male occupation, the Sponsor shall engage in one or more initiatives to prepare and encourage women to enter that training

• Establish and use programs designed as a preparatory occupational training to ensure that people served by these initiatives are afforded full and equal opportunity for admission to the apprenticeship program

• IE: pre-apprenticeship opportunities

5101:11-4-02 Affirmative Action Plan

Workforce Analysis Data will be conducted by occupation• Sponsors shall review their AAP plans and Workforce Analysis Worksheet

annually and update them where necessary, (without reducing them) to including the following:

• Labor Market Area Data– Total labor force in labor market area – Size of minority and female populations in labor market areaSponsors Workforce Data– Sponsors data on apprentices that are female and minority– Sponsors data on journeyworkers that are female and minorityDetermination of Utilization – Women utilization is 50%, Minority utilization is 100%

5101:11-4-02 Affirmative Action Plan

Goals and Timetables

• Goals for females and minorities shall be established on the basis of the Sponsors workforce analysis and its entire AAP

• A separate goal will be established for each, (females and minorities)

• Where the Council determines that the Sponsor has deficiencies within the meaning of this rule and that its AAP contains inadequate goals and timetables or none at all, the Council shall establish goals and timetables for the program as appropriate

5101:11-4-02 Affirmative Action Plan

Compliance• Shall be determined by whether the Sponsor has met its goals within its

timetables, or failing that, whether it has made good faith effort to meet its goals and timetables

• Good faith effort will be judged by whether it is following its AAP and attempting to make it work including evaluation and changes in its program where necessary to obtain the maximum effectiveness towards the attainment of the goals

• Where a Sponsor, despite its good faith effort, fails to meet its goals and timetables within a reasonable period of time, the Sponsor may be required to make appropriate changes in its AAP, selection method or qualification standards as prescribed by the Council in order to meet their goals

5101:11-4-02 Affirmative Action Plan

General Information

Census Data

Labor Market Area Data

Sponsor Workforce Data

Prior Goals

Determination of Utilization

New Goals

Signatures

Workforce Analysis Worksheet

• Prior goals, established from prior reviews

• New goals will be established if you haven’t had a prior review

• “Underutilization” refers to a situation where a Sponsors total workforce for a craft represented by the program includes fewer minorities and/or women than would reasonably be expected in view of the workforce data analysis

StandardsRecruitment & OutreachSelection MethodAffirmative Action ActivitiesApprentice FilesDocuments Checklist

• Sample AAPAffirmative Action Plan

Adopted By:

(Sponsor Name)

Ohio State Apprenticeship Council

Adopted by_______________

Date Approved____________