Chapter 5101:11-6 Discontinuing Program Registration

5101:11-6-01 Compliance reviews.

(A) Every registered program shall be subject to compliance reviews provided by the council office or, by mutual agreement, the office of apprenticeship, on the following occasions:

(1) One year after initial registration,

(2) At the end of the first full training cycle,

(3) No less often than every five years thereafter,

(4) In the event of any indication of non-conformity with the program's standards and/or any requirement(s) under division 5101:11 of the Administrative Code, and

(5) At the request of the sponsor.

(B) Compliance reviews shall assess program conformity with the requirements of the respective program standards and the rules under division 5101:11 of the Administrative Code; and shall include site inspections, interviews, file reviews, and/or such other processes as deemed appropriate by the council office for the purpose.

(C) If a compliance review finds that a fully registered program is either not operational or not complying with the requirements of division 5101:11 of the Administrative Code, the council office shall, with the exception noted below, offer the sponsor a period not to exceed one year, to achieve corrective action with technical assistance from the council office. The exception is that where such offer was previously made for the same finding(s) and failed to produce the required improvement, it need not be extended.

Replaces: 5101:11-4-03

Effective: 08/07/2014
R.C. 119.032 review dates: 08/01/2019
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 10/8/71, 10/13/78, 11/23/98, 3/22/04, 6/6/09

5101:11-6-02 Complaint process.

(A) Filing of complaints. Complaints alleging non-compliance with any rule under division 5101:11 of the Administrative Code, may be submitted to the council office in the following manner.

(1) An apprentice or his/her authorized representative may submit any complaint regarding violation of an equal opportunity (EEO) requirement under rule 5101:11-4-01 or Chapter 5101:11-5 of the Administrative Code. 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) To qualify for council office review the complaint must be in writing and signed by the complainant or his/her authorized representative.

(a) In matters concerning EEO, the complaint must be filed with the council office 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 5101:11-5-01 of the Administrative Code, thirty days from that body's final decision, whichever date is later. The time may be extended by the council office 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 EEO requirements.

(b) In matters concerning other violations of division 5101:11 of the Administrative Code, the complaint must be submitted to the council office 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.

(B) Complaint investigations. When the council office receives a complaint suggesting a violation under division 5101:11 of the Administrative Code, it shall proceed as follows:

(1) Within ninety days after receiving a complaint that does not concern EEO, the council office shall investigate whether a rules violation has occurred, based on the record before it and such additional information as it deems necessary to obtain. During that period, the council office will work with the sponsor to achieve corrective action.

(2) For complaints alleging an EEO violation, the following procedures will be followed:

(a) The council office 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 office determines that the review body will not effectively enforce the EEO requirements.

(b) The council office 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 EEO 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 practices are not in accordance with EEO requirements, the council office, or by mutual agreement the office of apprenticeship, may conduct such compliance review as found necessary, and the council office will take all necessary steps to resolve the complaint.

(d) Where no review body exists, or for reasons under paragraph (B)(2)(a) of this rule, a review body is not used, the council office 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 EEO requirements, as the circumstances warrant.

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

Replaces: part of 5101:11-5-01

Effective: 08/07/2014
R.C. 119.032 review dates: 08/01/2019
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 10/8/71, 10/13/78, 11/23/98, 3/22/04, 6/6/09

5101:11-6-03 Determinations of non-compliance.

(A) Upon expiration of the time allowed for corrective action in response to a complaint or compliance review finding, the council office shall issue a written determination as to whether a violation has occurred under division 5101:11 of the Administrative Code. This issuance 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 issuance, and has failed to correct the problem voluntarily; and that the sponsor will be subject to de-registration proceedings under rule 5101:11-7-01 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 issuance, 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 de-registration proceedings.

(B) If the council office determines, in accordance with paragraph (A)(1) of this rule, that the sponsor is not in compliance with equal opportunity (EEO) requirements, the council office at its discretion may, as an alternative to de-registration proceedings, refer the matter to the equal employment opportunity commission or to the attorney general with recommendations for the institution of a court action.

(C) If the council office determines, in accordance with paragraph (A)(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 office will take no further action regarding the case.

(D) 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 5101:11-5, 5101:11-6, or 5101:11-7 of the Administrative Code, shall be considered noncompliance with the EEO requirements of division 5101:11 of the Administrative Code. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purpose of the EEO requirements, including the conduct of any investigation, hearing or judicial proceeding arising therefrom.

Replaces: part of 5101:11-5-01

Effective: 08/07/2014
R.C. 119.032 review dates: 08/01/2019
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 10/8/71, 10/13/78, 11/23/98, 3/22/04, 6/6/09