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Ohio State Apprenticeship Council Compliance Essentials Connie Sink Ohio Department of Job and Family Services

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Ohio State Apprenticeship Council. Ohio Department of Job and Family Services. Compliance Essentials Connie Sink. Federal Register Department of Labor Employment and Training Administration 29 CFR 30 Equal Employment Opportunity in Apprenticeship and Training. Federal Register - PowerPoint PPT Presentation

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Page 1: Ohio State Apprenticeship Council

Ohio State ApprenticeshipCouncil

Compliance EssentialsConnie Sink

Ohio Department of Job and Family Services

Page 2: Ohio State Apprenticeship Council

Federal Register

Department of LaborEmployment and Training

Administration

29 CFR 30

Equal Employment Opportunity in

Apprenticeship and Training

Federal Register

Department of LaborEmployment and Training

Administration

29 CFR 29

Labor Standards for the

Registration of

Apprenticeship Programs

Statues Rules and Regulations for Registered Apprenticeship

Page 3: Ohio State Apprenticeship Council

Ohio Administrative

Code5101:11

ApprenticeshipCouncil Rules

• 5101:11-1-01 Definitions• 5101:11-2-01 Ohio State Apprenticeship Council• 5101:11-2-02 Procedure for notice of public mtgs• 5101:11-2-03 Procedure for Council registration of

program and apprentices• 5101:11-3-01 Eligibility for program registration• 5101:11-3-02 Selection of apprentices• 5101:11-3-03 Apprenticeship Agreement• 5101:11-3-04 Records• 5101:11-3-05 Reciprocity Agreement• 5101:11-4-01 Equal Opportunity Requirements• 5101:11-4-02 Affirmative Action Plans• 5101:11-4-03 Compliance Reviews• 5101:11-5-01 Complaints in matters of general

compliance• 5101:11-5-02 Noncompliance with equal opportunity

requirements• 5101:11-6-01 Deregistration of programs• 5101:11-6-02 Hearings• 5101:11-6-03 Reinstatement of program registration• 5101:11-7-01 Exemptions

Page 4: Ohio State Apprenticeship Council

• 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 Ohio Administrative Code 5101:11 for exact language and/or clarification

Page 5: Ohio State Apprenticeship Council

• 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.

• Special reviews can take place from a complaint (or) • Other indications of non-compliance• 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

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

Ohio Law 5101:11-4-03 Compliance Reviews

Page 6: Ohio State Apprenticeship Council

• The Ohio State Apprenticeship Council structured a Compliance Dept in the Spring of 2008

• The Compliance Specialists are charged with conducting a periodic review of Sponsor programs to determine if the Sponsor is complying with the requirements of the Ohio Administrative Code 5101:11, thus insuring that the integrity of the National Apprenticeship System is being upheld

Compliance Overview

Page 7: Ohio State Apprenticeship Council

• The Compliance Specialist will review Sponsor’s information, records, files and documents to determine Sponsor’s Compliance

• Compliance reviews will normally be conducted where the Sponsor’s records are kept

• An inspection of at least one of the Sponsors work sites where apprentices are employed may be conducted during the review

• Sponsor should arrange for 3 apprentices to be interviewed during the on-site review (to include 1 female, 1 minority, 1 white male)

Compliance Overview

Page 8: Ohio State Apprenticeship Council

Certified Appointment LetterEnclosed along in the certified appointment letter to the Sponsor is the following contents:

• Active apprentice list• Cancellation Form• Completion Form• Compliance Checklist

Compliance Process

Page 9: Ohio State Apprenticeship Council

Prior to the on-site review, the Compliance Specialist have reviewed therecords on file at OSAC to include Sponsor’s:

– Prior Compliance Reviews– Standards– Affirmative Action Plan – Workforce Analysis Worksheet– Selection Procedures

Approximately 1 week prior to the review the Compliance Specialist willcall the Sponsor to confirm the review date and time

Compliance Process

Page 10: Ohio State Apprenticeship Council

– 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

Page 11: Ohio State Apprenticeship Council

Application Records

• Qualification criteria, stated in detail

• A summary of the qualifications of each applicant

• Basis for evaluation and selection or rejection of each applicant

• Records pertaining to interviews of applicants

• The original application

• Records pertaining to those selected or rejected and maintained in such a manner to permit identification of minority and female applicants

On Site Review

Page 12: Ohio State Apprenticeship Council

General Program Operation – Job Assignments– Promotions and Demotions– Lay-offs or termination– Wages or compensation– Conditions of work– Hours of OJT and RTI– Any other pertinent records determining compliance

5 Year Maintenance/made available to Council

On Site Review

Page 13: Ohio State Apprenticeship Council

Programs with 5 or more apprentices

Affirmative Action Plans – Retain a statement of its Affirmative Action Plan– Maintain data and Workforce Analysis

On Site Review

Page 14: Ohio State Apprenticeship Council

Programs with 5 or more apprenticesMust have a written and approved Affirmative Action Plan• Outreach and positive recruitment

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

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

• Dissemination to include requirements for admission to apprenticeship to 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

On Site Review- Affirmative Action

Page 15: Ohio State Apprenticeship Council

• 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)

On Site Review-Affirmative Action

Page 16: Ohio State Apprenticeship Council

• Participation in annual workshops conducted by employment service agencies

• Cooperation with local school boards and vocational educational systems

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

• Utilization of journeypersons to assist in the implementation of the AAP

• Granting advanced credit on previously acquired experience, training, skills or aptitude to encourage entry, so as long as policies are applied equally and without discrimination

On Site Review-Affirmative Action

Page 17: Ohio State Apprenticeship Council

• Workforce Analysis Data• 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%

On Site Review-Affirmative Action

Page 18: Ohio State Apprenticeship Council

Workforce Analysis Worksheet

General Information

Census Data

Labor Market Area Data

Sponsor Workforce Data

Prior Goals

Determination of Utilization

New Goals

Signatures• OSAC and Sponsor

Page 19: Ohio State Apprenticeship Council

• 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

• The commitments contained in the Sponsors AAP are not intended and shall not be used to discriminate against qualified applicants on the basis or race, color, religion, national origin, sex or age

On Site Review-Affirmative Action

Page 20: Ohio State Apprenticeship Council

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

Review Selection MethodsRank Random (Lottery)Restricted Pool (Present Employees)Alternative (Any other)

Direct Entry or Referral Job CorpSpecial Programs/funded by government

On Site Review-Selection Procedure

Page 21: Ohio State Apprenticeship Council

• Contacting organizations supplied by the Sponsor to verify their program outreach activities

• A visit to minority and women’s organizations and other potential referral sources listed by the Sponsor

Off Site Review Verification

Page 22: Ohio State Apprenticeship Council

• Compliance Specialists compose summary report

• A letter of findings, recommendations and follow-up is mailed to Sponsor

• AAP Workforce Analysis Worksheet

Sponsor is to sign the letter and Workforce Analysis and returned to

OSAC within 30 days of receipt

Compliance Findings

Additional examination procedure to the Compliance process A representative from OSAC will make a un-announced visit during your Related Technical Instruction

The intent is to insure that Sponsors are following the requirements as outlined in their registered Standards therefore upholding the integrity of the National Apprenticeship System

Page 23: Ohio State Apprenticeship Council

Standards

Recruitment & Outreach

Selection Method

Affirmative Action Activities

Apprentice Files

Documents Checklist