5101:11-5-01 Determinations of non-compliance.

(A) The council has authority to investigate cases of suspected non-compliance with any provision of division 5101:11 of the Administrative Code and where a pattern or practice of non-compliance is confirmed, to work with the sponsor to achieve voluntary remedies. Where the council is unable in this process to correct such pattern or practice, it has the authority to impose the sanction of deregistering the program.

(B) Complaints. The council has the authority to investigate and resolve complaints alleging non-compliance with any provision of division 5101:11 of the Administrative Code. A registered apprentice may submit such a complaint in the following manner.

(1) The apprentice or his/her authorized representative may submit for council review any complaint regarding violation of equal opportunity requirements. In the same manner, a complaint regarding any other violation of division 5101:11 of the Administrative Code may be submitted, provided that it cannot be resolved under the program standards' dispute resolution process and that all appeal processes have been exhausted under any applicable collective bargaining agreement.

(2) Filing of complaints. To qualify for council review the complaint must be in writing and signed by the complainant or his/her authorized representative.

(a) In matters concerning equal opportunity, the complaint must be filed with the council no later than one hundred eighty days from the date of the latest alleged violation, or in the case of a complaint filed first with a review body established by the sponsor under rule 5101:11-4-01 of the Administrative Code, thirty days from that body's final decision, whichever date is later. The time may be extended by the council for good cause shown. The complaint must include the name, address, and telephone number of the person allegedly discriminated against, the program sponsor involved, and a brief description of the circumstances of the alleged failure to apply the equal opportunity requirements.

(b) In matters concerning other violations of division 5101:11 of the Administrative Code, the complaint must be submitted to the council within sixty days of the final action available under the program standards' resolution process and the process, if any, provided by a collective bargaining agreement. The complaint shall be specific, shall include all relevant facts and circumstances, and be accompanied by copies of all pertinent documents and correspondence.

(C) Investigations. When the council receives information (whether through a complaint, a compliance review, or other source) suggesting a violation under division 5101:11 of the Administrative Code, it shall determine whether the alleged violation has occurred, based on the record before it and such additional investigation as it deems necessary. Pending its determination, the council shall make a reasonable effort to effect a satisfactory resolution of any dispute between the sponsor and its apprentice(s) by means of agreement between them. If successful in this effort, the council shall notify the parties that the case is closed.

(1) Investigating general complaints. The council shall complete its review and make a determination within ninety days after receiving a complaint of non-compliance with rules other than those in Chapter 5101:11-4, concerning equal opportunity.

(2) Investigating complaints involving equal opportunity. For complaints alleging a violation of equal opportunity, the following procedures will be followed:

(a) The council shall refer the complaint to the sponsor-designated review body, if one exists, unless the complainant has requested that it not do so or the council determines that the review body will not effectively enforce the equal opportunity requirements.

(b) The council shall, within thirty days following its referral of a complaint to a review body, obtain a report from the complainant and the review body as to the disposition of the complaint. If the complaint has been satisfactorily adjusted, and there is no other indication of failure to apply equal opportunity requirements, the case shall be closed and the parties appropriately informed.

(c) When a complaint filed with a review body has not been resolved by that body within ninety days or where, despite resolution of the complaint by the review body, there is evidence that the program's equal opportunity practices are not in accordance with Chapter 5101:11-4 of the Administrative Code, the council, or by mutual agreement the office of apprenticeship, may conduct such compliance review as found necessary, and the council will take all necessary steps to resolve the complaint.

(d) Where no review body exists, the council will conduct such compliance review as found necessary in order to determine the facts of the complaint, and obtain such other information relating to compliance with rules under Chapter 5101:11-4 of the Administrative Code, as the circumstances warrant.

(D) Public Notice of complaint procedures. Sponsors shall provide written notice of the complaint procedures described in paragraphs (B) and (C) of this rule, to all apprentices and all applicants for apprenticeship.

(E) Findings. On completing an investigation described in paragraph (C) of this rule, the council shall issue a written finding as to whether a violation has occurred under division 5101:11 of the Administrative Code, which must contain one and only one of the following conclusions:

(1) that the sponsor is out of compliance with some provision(s) of division 5101:11 of the Administrative Code, to be specified in the finding, and has failed to correct the problem voluntarily; and that the sponsor will be subject to deregistration proceedings under rule 5101:11-6-01 of the Administrative Code;

(2) that the sponsor is out of compliance with some provision(s) of division 5101:11 of the Administrative Code, to be specified in the finding, and will be granted a further period, also to be specified, in which to achieve voluntary compliance;

(3) that there is no evidence of non-compliance sufficient to warrant deregistration proceedings;

(F) If the council determines, in accordance with paragraph (E)(1) of this rule, that the sponsor is not in compliance with some provision of division 5101:11 of the Administrative Code, the council will start deregistration proceedings under Chapter 5101:11-6 of the Administrative Code, with this exception: In a case of non-compliance with equal opportunity requirements, the council at its discretion may, as an alternative to deregistration proceedings, refer the matter to the equal employment opportunity commission or to the attorney general with recommendations for the institution of a court action.

(G) If the council determines, in accordance with paragraph (E)(3) of this rule, that there is no evidence of non-compliance, it shall so notify the interested parties and advise them that, absent new information bearing on the matter, the council will take no further action regarding the complaint.

(H) Intimidatory or retaliatory acts. Any intimidation, threat, coercion or retaliation by or with the approval of any sponsor against any person for the purpose of interfering with any right or privilege secured by Title VII of the Civil Rights Act of 1964 or by federal executive order 11246 (http://www.dol.gov/esa/ofccp/regs/statutes/eo11246.htm), or because he or she has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under Chapter 5101:11-4, 5101:11-5, or 5101:11-6 of the Administrative Code, shall be considered noncompliance with the equal opportunity requirements of Chapter 5101:11-4 of the Administrative Code. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purpose of Chapter 5101:11-4 of the Administrative Code, including the conduct of any investigation, hearing or judicial proceeding arising therefrom.

Replaces: 5101:11-5-01, 5101:11-5-02

Effective: 06/06/2009
R.C. 119.032 review dates: 06/01/2014
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.01
Prior Effective Dates: 10/8/71, 10/13/78, 11/23/98, 3/22/04