1. Ohio Department of Job and Family Services Ohio State Apprenticeship Council Surviving a Compliance Review Connie Sink

2. 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

3. 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

4. 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

5. –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

6. 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

7. Qualification criteria, stated in detail Minimum age limits Physical fitness Aptitude test Other tests Education Other specific criteria detailed 5101:11-3-04 Records

8. 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

9. 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

10. 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

11. 5 year maintenance of records made available for Council review

12. Uniformly apply rules and regulations concerning apprentices including 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

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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 area Sponsors Workforce Data –Sponsors data on apprentices that are female and minority –Sponsors data on journeyworkers that are female and minority Determination of Utilization –Women utilization is 50%, Minority utilization is 100% 5101:11-4-02 Affirmative Action Plan

28. 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

29. 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

30. General Information Census Data Labor Market Area Data Sponsor Workforce Data Prior Goals Determination of Utilization New Goals Signatures Workforce Analysis Worksheet

31. 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

32. Standards Recruitment & Outreach Selection Method Affirmative Action Activities Apprentice Files Documents Checklist

33. Sample AAP Affirmative Action Plan Adopted By: (Sponsor Name) Ohio State Apprenticeship Council Adopted by_______________ Date Approved____________