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.
Replaces: Parts of rules 5101:11-6-01, 5101:11-6-03, and
5101:11-7-01
Effective: 10/1/2020
Five Year Review (FYR) Dates: 10/01/2025
Certification: CERTIFIED ELECTRONICALLY
Date: 09/14/2020
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03, 4139.05
Prior Effective Dates: 10/08/1971, 10/13/1978, 06/20/1979,
11/23/1998, 03/22/2004, 06/06/2009, 08/07/2014