The provisions of this rule apply to programs that
have been fully registered based on favorable results of a first-year or
first-cycle compliance review, as described in rule 5101:11-3-01 of the
Administrative Code.
(A) After completing a compliance review
or complaint investigation, the council office will:
(1) Develop a complete
case record that contains, but is not limited to, the following:
(a) The type of procedure involved (complaint investigation
or compliance review); the date(s) when it occurred; and the program that was
its subject;
(b) The location and nature of each task performed in the
procedure;
(c) For each interview, if any, conducted in the course of
the procedure: the date, time, and place (or electronic medium) of its
occurrence; the name, address, and phone number of each person participating,
and his/her role in the discussion; and a summary of the discussion, including
questions posed and the resulting answers and statements;
(d) A copy of each pertinent document, including, where
appropriate, any transcript and/or summary of information not obtained as a
written record;
(e) A narrative report of the procedure, citing each item
of evidence which relates to any alleged violation; and
(f) A conclusion, citing all supporting arguments and
evidence, as to whether the sponsor is non-compliant with any rule(s) under
division 5101:11 of the Administrative Code, and if so, which one(s) it
violated and in what manner.
(2) Issue a written
notice of compliance findings to the sponsor's authorized representative
through registered or certified mail, with return receipt requested. A copy is
to be provided at the same time to the complainant(s) involved, if any. The
notice of compliance findings will include the following:
(a) Specification of what procedure led to its issuance
(compliance review or complaint investigation), and when the procedure
occurred;
(b) A compliance finding that concludes
either:
(i) That there is no
evidence of non-compliance sufficient to warrant de-registration proceedings,
and that, absent new information bearing on the matter, the council office will
take no further action regarding the case; or
(ii) That the sponsor is
out of compliance with some provision(s) of division 5101:11 of the
Administrative Code, to be specified in the notice along with a description of
the particular manner in which the violation(s) occurred;
(c) Where there is a finding of non-compliance,
either:
(i) A correction advisory
allowing for voluntary remediation under paragraph (B) of this rule;
or
(ii) An explanation of
why voluntary remediation will not be offered, and a copy of any applicable
preceding correction advisory;
(d) A description of the enforcement action(s) that will be
undertaken because of non-compliance or, where applicable, if voluntary
remediation is not achieved within the required timeframe.
(B) Voluntary remediation. With the
exception noted in this paragraph, a chance for voluntary corrective action
will be offered when a compliance review or complaint investigation finds that
a fully registered program has one or more deficiency(ies) rendering it either
not operational or not compliant with some specified requirement(s) of division
5101:11 of the Administrative Code. In that event: the council office will
allow a period of its choosing, but not to exceed one year, for the sponsor to
correct each cited deficiency with technical assistance from the council
office; and the notice of compliance findings described in paragraph (A) of
this rule, will incorporate a correction advisory which defines each required
outcome, set criteria for how it will be achieved, and specify a deadline for
doing so. The exception is that where the sponsor previously received such
opportunity for the same kind(s) of deficiency and failed to achieve the
required improvement, the offer need not be extended or repeated. At council
office discretion, the correction advisory may state that pending full
remediation, the program is to suspend registration of new apprentices and
where applicable, acceptance of applicants into an enrollment pool. However,
this suspension is mandatory in cases (including but not limited to certain EEO
violations) where the council office finds that continued selection activities
would impair the achievement of compliance.
(C) Implementing remedial action. When a
sponsor receives a notice of compliance findings that offers the chance for
corrective action, the sponsor will, within thirty business days of receipt or
at an earlier date specified in the notice, submit a written compliance action
plan to the council office.
(1) The plan is to
include, but is not limited to, the following:
(a) Acknowledgement of each deficiency identified by the
council office, and a commitment to correct it;
(b) Description of the precise corrective actions to be
taken for each deficiency identified, consistent with the remedy(ies)
prescribed by the council office; and
(c) A commitment to implement these actions by the
respective deadline(s) as found in the correction advisory.
(2) If the compliance
action plan is approved by the council office and carried out by the stated
deadline(s), then upon its implementation the sponsor will be considered in
compliance with the rule(s) cited in the notice of findings.
