DWD 296.12(1)(1)
Obligations of sponsors. A sponsor shall collect data and maintain adequate records necessary for the department to determine if a sponsor is complying with the requirements of this chapter. At a minimum, records shall include all of the following:
DWD 296.12(1)(a)
(a) Selection for apprenticeship, including applications, tests and test results, interview notes, the bases for selection or rejection, and any other records required to be maintained under UGESP.
DWD 296.12(1)(b)
(b) The invitation to self-identify as an individual with a disability provided to applicants and apprentices under s.
DWD 296.11.
DWD 296.12(1)(c)
(c) Information relating to the operation of the registered apprenticeship program, including job assignments in all components of the occupation, promotion, demotion, transfer, layoff, termination, rates of pay or other forms or compensation, conditions of work, hours of work, hours of training provided, and any other personnel records relevant to complaints filed with the department under s.
DWD 296.14 or filed with other enforcement agencies.
DWD 296.12(1)(f)
(f) Any other records pertinent to a determination of compliance with this chapter.
DWD 296.12(2)
(2)
Sponsor identification of record. For each record maintained under this chapter, a sponsor shall be able to identify the race, sex, ethnicity, and, when known, the disability status of each apprentice. Where possible, a sponsor shall be able to identify the race, sex, ethnicity, and disability status of each applicant to apprenticeship. A sponsor shall supply the information to the department upon request.
DWD 296.12(3)
(3)
Affirmative action programs. A sponsor required under s.
DWD 296.04 to develop and maintain an affirmative action program shall retain both the written affirmative action plan under s.
DWD 296.04 (3) and documentation of its component elements under ss.
DWD 296.05 to
296.09 and
296.11.
DWD 296.12(4)
(4)
Maintenance of records. All records required under this chapter, and any other information relevant to compliance with this chapter, shall be maintained for 5 years from the date of making the record or the date of the personnel action involved, whichever occurs later, and shall be made available as requested by the department or other authorized representative in a form determined by the department, as necessary to determine compliance. Failure to maintain records under this chapter constitutes noncompliance.
DWD 296.12(5)
(5)
Confidentiality and use of medical information. Any information obtained under this chapter regarding the medical condition or history of an applicant or apprentice shall be collected and maintained on separate forms and in separate medical files and treated as a confidential medical record, except when any of the following apply:
DWD 296.12(5)(a)
(a) Supervisors and managers may be informed regarding necessary restrictions on the work or duties of the applicant or apprentice and necessary accommodations.
DWD 296.12(5)(b)
(b) First aid and safety personnel may be informed if the disability might require emergency treatment.
DWD 296.12(5)(c)
(c) Government officials engaged in enforcement of this chapter, of the laws administered by the U.S. department of labor's office of federal contract compliance programs, or of the ADA, shall be provided relevant information on request.
DWD 296.12(6)
(6)
Access to records. A sponsor shall allow the department access, during normal business hours, to its places of business for the purpose of conducting on-site EEO compliance reviews, complaint investigations, and inspecting and copying books, accounts, and records, including electronic records, and any other material the department deems relevant to the matter under investigation and pertinent to compliance with this chapter. A sponsor shall also provide the department access to these materials, including electronic records, off-site for purposes of conducting EEO compliance reviews and complaint investigations. A sponsor shall provide the department information about all formats, including specific electronic formats, in which the records and other information are available.
DWD 296.12 History
History: CR 19-003: cr. Register September 2019 No. 765, eff. 10-1-19; correction in (2) to (4), (5) (intro.), (6) made under s. 35.17, Stats., Register September 2019 No. 765. DWD 296.13
DWD 296.13 Equal employment opportunity compliance review. DWD 296.13(1)
(1)
Department review. The department shall conduct EEO compliance reviews to determine if a sponsor is in compliance with this chapter regularly, or when circumstances warrant a review.
DWD 296.13(2)
(2)
Conduct of compliance reviews. An EEO compliance review may include any of the following:
DWD 296.13(2)(a)
(a) A comprehensive analysis and evaluation of each aspect of the registered apprenticeship program through off-site reviews.
DWD 296.13 Note
Note: An example of an off-site review may include desk audits of records submitted to the department.
DWD 296.13(2)(b)
(b) On-site reviews conducted at the sponsor's establishment that may involve examination of records, inspection and copying of documents related to recordkeeping requirements, and interviews with employees, apprentices, journeyworkers, supervisors, managers, and hiring officials.
DWD 296.13(3)
(3)
Notification of compliance review findings. Within 45 business days of completing an EEO compliance review, the department shall present a written notice of compliance review findings to the sponsor. If the compliance review indicates a failure to comply with this chapter, the department shall inform the sponsor in writing and include in the notice all of the following:
DWD 296.13(3)(c)
(c) The timeframe within which the deficiencies must be corrected.
DWD 296.13(3)(d)
(d) Enforcement actions that may be taken if compliance is not achieved within the required timeframe.
DWD 296.13(4)(a)
(a) Within 30 days of a sponsor receiving a notice of compliance review with findings that indicate a failure to comply with this chapter, the sponsor shall implement a compliance action plan and notify the department of the plan, or submit a written rebuttal to the findings to the department. A sponsor may request a one-time, 30-day extension.
DWD 296.13(4)(b)
(b) If the sponsor submits a written rebuttal to the notice of compliance review findings to the department under par.
(a), the department may do any of the following:
DWD 296.13(4)(b)2.
2. Modify the notice of compliance review findings in whole or in part.
DWD 296.13(4)(c)
(c) If the department upholds the notice of compliance review findings after receiving a written rebuttal from the sponsor, the sponsor shall implement a compliance action plan within 30 days of receiving the notice from the department upholding the findings.
DWD 296.13(4)(d)
(d) A compliance action plan required under par.
(a) or
(c) shall include, at a minimum, all of the following:
DWD 296.13(4)(d)1.
1. A specific commitment, in writing, to correct or remediate the identified deficiencies and areas of noncompliance.
DWD 296.13(4)(d)3.
3. The time period within which the cited deficiencies shall be remedied and any corrective program changes implemented.
DWD 296.13(4)(d)4.
4. The name of the individual responsible for correcting each deficiency identified.
DWD 296.13(4)(e)
(e) Upon the department's approval of the compliance action plan, a sponsor may be considered in compliance under this chapter provided that the compliance plan is implemented.
DWD 296.13(5)
(5)
Enforcement actions. A sponsor that fails to implement a compliance action plan within the specified timeframes may be subject to an enforcement action under s.
DWD 296.15.
DWD 296.13 History
History: CR 19-003: cr. Register September 2019 No. 765, eff. 10-1-19. DWD 296.14(1)(a)
(a)
If an applicant or apprentice of a registered apprenticeship program believes he or she has been discriminated against on the basis of race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, or disability with regard to apprenticeship, or been retaliated against in violation of s.
DWD 296.17, the applicant or apprentice of a registered apprenticeship program, or the applicant's or apprentice's authorized representative, may file a written complaint with the department.
DWD 296.14(1)(b)
(b) A complaint under par.
(a) shall be filed within 300 days of the alleged discrimination or failure to follow the equal opportunity standards. The department may extend the filing time for good cause shown. The time period for filing is for the administrative convenience of the department and does not create a defense for the respondent.
DWD 296.14(1)(c)
(c) Each complaint filed under par.
(a) shall be made in writing and contain all of the following information:
DWD 296.14(1)(c)1.
1. The applicant's or apprentice of a registered apprenticeship program's name, address, and telephone number, including best method of contact.
DWD 296.14(1)(c)2.
2. All available information to identify the respondent including name, address, and telephone number.
DWD 296.14(1)(c)3.
3. A short description of the events that the applicant or apprentice of a registered apprenticeship program believes are discriminatory or a failure to follow equal opportunity standards. The description shall include the date and location the events took place, and why the applicant or apprentice believes the actions were discriminatory or a failure to follow equal opportunity standards.
DWD 296.14(1)(c)4.
4. The applicant's or apprentice's signature, or the signature of the applicant's or apprentice's authorized representative.
DWD 296.14(2)
(2)
Requirements of sponsors. A sponsor of a registered apprenticeship program shall provide written notice to all applicants and apprentices of a registered apprenticeship program of their right to file a complaint and identify the procedures to file. The notice shall include the name, address, and telephone number of the department and shall be provided in the application for apprenticeship and displayed in a prominent, publicly available location where all apprentices can see the notice. The notice shall include the following specific wording:
Your Right to Equal Opportunity. It is against the law for a sponsor of an apprenticeship program registered for Federal purposes to discriminate against an apprenticeship applicant or apprentice based on race, color, religion, national origin, sex, sexual orientation, age (40 years or older), genetic information, or disability. The sponsor must ensure equal opportunity with regard to all terms, conditions, and privileges associated with apprenticeship. If you think that you have been subjected to discrimination, you may file a complaint within 300 days from the date of the alleged discrimination or failure to follow the equal opportunity standards with [INSERT NAME OF REGISTRATION AGENCY, ADDRESS, PHONE NUMBER, EMAIL ADDRESS, AND CONTACT NAME OF INDIVIDUAL AT THE REGISTRATION AGENCY WHO IS RESPONSIBLE FOR RECEIVING COMPLAINTS]. You may also be able to file complaints directly with the EEOC, or the Wisconsin equal rights division. If those offices have jurisdiction over the sponsor/employer, their contact information is listed below. [INSERT CONTACT INFORMATION FOR EEOC AS PROVIDED ON “EEO IS THE LAW POSTER,” AND CONTACT INFORMATION FOR THE WISCONSIN EQUAL RIGHTS DIVISION AS PROVIDED ON THE WISCONSIN EQUAL RIGHTS DIVISION POSTER, AS APPLICABLE]
Each complaint filed must be made in writing and include the following information:
1. Complainant's name, address and telephone number, or other means for contacting the complainant;
2. The identity of the respondent (i.e. the name, address, and telephone number of the individual or entity that the complainant alleges is responsible for the discrimination);
3. A short description of the events that the complainant believes were discriminatory, including but not limited to when the events took place, what occurred, and why the complainant believes the actions were discriminatory (for example, because of his/her race, color, religion, sex, sexual orientation, national origin, age (40 or older), genetic information, or disability);
4. The complainant's signature or the signature of the complainant's authorized representative.
DWD 296.14(3)(a)(a) Complaints received by the department under sub.
(1) shall be processed as expeditiously as possible. When conducting complaint investigations, the department shall do all of the following:
DWD 296.14(3)(a)1.
1. Provide written notice to the applicant or apprentice of a registered apprenticeship program, acknowledging receipt of the complaint.
DWD 296.14(3)(a)2.
2. Contact the applicant or apprentice of a registered apprenticeship program to obtain additional information, if necessary to initiate an investigation.
DWD 296.14(3)(a)4.
4. Conduct a thorough investigation of the allegations in the complaint and document, at a minimum, all of the following:
DWD 296.14(3)(a)4.d.
d. A narrative report of the investigation with references to exhibits and other evidence related to the alleged violations.
DWD 296.14(3)(a)5.
5. Provide written notification of the department's findings to both the respondent and applicant or apprentice of a registered apprenticeship program.
DWD 296.14(3)(b)
(b) If the department finds a violation of the nondiscrimination requirements under this chapter, the department shall attempt to resolve the matter as quickly as possible at the department level. If a complaint of discrimination cannot be resolved to the satisfaction of the applicant or apprentice, the department shall refer the complaint to other federal, state, or local EEO agencies.
DWD 296.14(3)(c)
(c) At its own discretion, the department may refer a complaint to any of the following:
DWD 296.14(3)(c)3.
3. The department of labor's office of federal contract compliance programs.
DWD 296.14 History
History: CR 19-003: cr. Register September 2019 No. 765, eff. 10-1-19; correction in (1) (a) made under s. 35.17, Stats., and correction in (3) (c) 1., 2. made under s. 13.92 (4) (b) 12., Stats., Register September 2019 No. 765. DWD 296.15(1)(1)
If the department determines that a sponsor is not operating its registered apprenticeship program as specified under this chapter because of a compliance review, complaint investigation, or other reason, the department shall notify the sponsor in writing and identify the specific violations.
DWD 296.15(2)
(2) The department may take enforcement action if a violation under sub.
(1) occurs, including any of the following:
DWD 296.15(2)(a)
(a) Offering the sponsor technical assistance to promote compliance.
DWD 296.15(2)(b)1.1. Suspending the sponsor's right to register new apprentices if the sponsor fails to implement a compliance action plan to correct the violation identified within 30 business days from the date the sponsor is notified, or if the sponsor submits a written response to the findings of noncompliance and fails to implement a compliance action plan within 30 days of receiving the department notice upholding the initial noncompliance findings.
DWD 296.15(2)(b)2.
2. If a sponsor has not implemented a compliance action plan within 30 business days of notification of suspension, the department may begin proceedings to deregister the sponsor's registered apprenticeship program as prescribed under s.
DWD 295.21. If the department does not begin proceedings to deregister the sponsor's program under this paragraph within 45 days of the start of the suspension, the suspension is lifted.
DWD 296.15(2)(c)
(c) Taking other action authorized by law that may include referral to any of the following:
DWD 296.15(2)(c)3.
3. The U.S. department of labor's office of federal contract compliance programs.
DWD 296.15 History
History: CR 19-003: cr. Register September 2019 No. 765, eff. 10-1-19; correction in (1) made under s. 35.17, Stats., and correction in (2) (c) 1. made under s. 13.92 (4) (b) 12., Stats., Register September 2019 No. 765. DWD 296.16 History
History: CR 19-003: cr. Register September 2019 No. 765, eff. 10-1-19; correction made under s. 35.17, Stats., Register September 2019 No. 765.
