7 CCR 1108-1.6 - The Colorado SAA State Plan for Equal Opportunity in Apprenticeship

A. Purpose, applicability, and relationship to other laws

1. Purpose. The purpose of this plan is to promote equal opportunity for apprentices and applicants for apprenticeship in registered apprenticeship programs by prohibiting discrimination based on the following protected bases: race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, disability, creed, gender identity, gender expression, ancestry, pregnancy or childbirth (or related conditions), and any other basis protected by federal, state, or local law. This plan also prescribes affirmative action efforts sponsors must take to ensure equal opportunity for apprentices and applicants for registered apprenticeship. This plan sets forth the equal opportunity obligations of sponsors, the contents of affirmative action programs, procedures for the filing and processing of complaints, and enforcement procedures. This plan also establishes procedures for deregistration of an apprenticeship program in the event of noncompliance with this plan.

2. Applicability. The plan applies to all sponsors of apprenticeship programs registered with the Colorado SAA.

3. Relationship to other laws. This plan does not invalidate or limit the remedies, rights, and procedures under any Federal law or the law of any State or political subdivision of any State or jurisdiction that provides greater or equal protection for individuals based on the protected bases listed in (A)(1) than are afforded by this plan. It may be a defense to a charge of a violation of this plan that a challenged action is required or necessitated by a Federal law or regulation, or that a Federal law or regulation prohibits an action that would otherwise be required by this plan.

B. Equal opportunity standards applicable to all sponsors

1. Discrimination prohibited. It is unlawful for a sponsor of a registered apprenticeship program to discriminate against an apprentice or applicant for apprenticeship on the basis of the protected bases listed in (A)(1) with regard to:

a. Recruitment, outreach, and selection procedures;

b. Hiring and/or placement, upgrading, periodic advancement, promotion, demotion, transfer, layoff, termination, right of return from layoff, and rehiring;

c. Rotation among work processes;

d. Imposition of penalties or other disciplinary action;

e. Rates of pay or any other form of compensation and changes in compensation;

f. Conditions of work;

g. Hours of work and hours of training provided;

h. Job assignments;

i. Leaves of absence, sick leave, or any other leave; and

j. Any other benefit, term, condition, or privilege associated with registered apprenticeship.

2. Discrimination standards and defenses.

a. Race, color, religion, national origin, sex, or sexual orientation. In implementing this section, the SAA will look to the legal standards and defenses applied under title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000 et seq, Executive Order 11246, and C.R.S. § 24-34-301 as applicable, in determining whether a sponsor has engaged in a practice prohibited under Section (B)(1) of this Rule.

b. Disability. With respect to discrimination based on a disability, the SAA will apply the same standards, defenses, and exceptions to the definition of disability as those set forth in title I of the Americans with Disabilities Act (ADA), 42 U.S.C. 12112 and 12113, as amended, and the implementing regulations promulgated by the Equal Employment Opportunity Commission (EEOC) at 29 CFR Part 30 , which include, among other things, the standards governing reasonable accommodation, medical examinations and disability-related inquiries, qualification standards, and direct threat defense. The Interpretive Guidance on title I of the ADA set out as an appendix to part 1630 issued pursuant to title I may be relied upon for guidance in complying with the nondiscrimination requirements of this plan with respect to the treatment of individuals with disabilities.

c. Age. The SAA will apply the same standards and defenses for age discrimination as those set forth in the Age Discrimination in Employment Act (ADEA), 29 U.S.C. 623, the implementing regulations promulgated by the EEOC at 29 CFR Part 1625 , and in the Colorado Anti-Discrimination Act, C.R.S. § 24-34-402.

d. Genetic information. The SAA will apply the same standards and defenses for discrimination based on genetic information as those set forth in the Genetic Information Nondiscrimination Act (GINA), 29 U.S.C. 2000ff et seq., and the implementing regulations promulgated by the EEOC at 29 CFR Part 1635.

e. Creed, gender identity, gender expression, or ancestry. The SAA will apply the same standards, defenses, and exceptions for discrimination based on creed, gender identity, gender expression, or ancestry as those set forth in the Colorado Anti-Discrimination Act, C.R.S. § 24-34-402.

f. Pregnancy, childbirth, and related conditions. The SAA will apply the same standards, defenses, and exceptions for discrimination based on pregnancy, childbirth, and related conditions as those set forth in the Colorado AntiDiscrimination Act, C.R.S. 24-34-402.5.

C. General duty to engage in affirmative action. For each registered apprenticeship program, a sponsor is required to take affirmative steps to provide equal opportunity in apprenticeship. These steps must include:

1. Assignment of responsibility. The sponsor will designate an individual or individuals with appropriate authority under the program, such as an apprenticeship coordinator, to be responsible and accountable for overseeing its commitment to equal opportunity in registered apprenticeship, including the development and implementation of an affirmative action program as required by Section (D)(2) and 29 CFR 30.4(b). The individual(s) must have the resources, support of, and access to the sponsor leadership to ensure effective implementation. The individual(s) will be responsible for:

a. Monitoring all registered apprenticeship activity to ensure compliance with the nondiscrimination and affirmative action obligations required by this plan;

b. Maintaining records required under this plan; and

c. Generating and submitting reports as may be required by the SAA.

2. Internal dissemination of equal opportunity policy. The sponsor must inform all applicants for apprenticeship, apprentices, and individuals connected with the administration or operation of the registered apprenticeship program of its commitment to equal opportunity and its affirmative action obligations. In addition, the sponsor must require that individuals connected with the administration or operation of the registered apprenticeship program take the necessary action to aid the sponsor in meeting its nondiscrimination and affirmative action obligations under this plan. A sponsor, at a minimum, is required to:

a. Publish its equal opportunity pledge-set forth in Section (C)(5)(a) of this Rule- in the apprenticeship standards required under Rule 1.5 , and in appropriate publications, such as apprentice and employee handbooks, policy manuals, newsletters, or other documents disseminated by the sponsor or that otherwise describe the nature of the sponsorship;

b. Post its equal opportunity pledge from (C)(5)(a) of this Rule on bulletin boards, including through electronic media, such that it is accessible to all apprentices and applicants for registered apprenticeship;

c. Conduct orientation and periodic information sessions for individuals connected with the administration or operation of the registered apprenticeship program, including all apprentices and journeyworkers who regularly work with apprentices, to inform and remind such individuals of the sponsor's equal employment opportunity policy with regard to registered apprenticeship, and to provide the training required by Rule 1.6 ; and d. Maintain records necessary to demonstrate compliance with these requirements and make them available to the SAA upon request.

3. Universal outreach and recruitment. The sponsor will implement measures to ensure that its outreach and recruitment efforts for apprentices comply with all federal, state, and local laws as to job postings, outreach, and recruitment, and that they extend to all persons available for apprenticeship within the sponsor's relevant recruitment area without regard to race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, disability, creed, gender identity, gender expression, ancestry, pregnancy or childbirth (or related conditions), and any other basis protected by federal, state, or local law. In furtherance of this requirement, the sponsor must:

a. Develop and update annually a list of current recruitment sources that will generate referrals from all demographic groups within the relevant recruitment area. Examples of relevant recruitment sources include: The public workforce system's workforce centers and local workforce development boards; community-based organizations; community colleges; career and technical colleges; pre-apprenticeship programs; and Federally funded, youth job training programs such as YouthBuild and Job Corps or their successors;

b. Identify a contact person, mailing address, telephone number, and email address for each recruitment source; and

c. Provide recruitment sources advance notice, preferably 30 calendar days, of registered apprenticeship openings so that the recruitment sources can notify and refer candidates. Such notification must also include documentation of the sponsor's equal opportunity pledge specified in Section (C)(5)(a) of this Rule.

4. Maintaining apprenticeship programs free from harassment, intimidation, and retaliation. The sponsor must develop and implement procedures to ensure that its apprentices are not harassed because of the protected bases listed in (A)(1) and to ensure that its registered apprenticeship program is free from intimidation and retaliation as prohibited by C.R.S. § 24-34-402(1)(f). To promote an environment in which all apprentices feel safe, welcomed, and treated fairly, the sponsor must ensure the following steps are taken:

a. Providing anti-harassment training to all individuals connected with the administration or operation of the registered apprenticeship program, including all apprentices and journeyworkers who regularly work with apprentices. This training must not be a mere transmittal of information, but must include participation by trainees, such as attending a training session in person or completing an interactive training online. The training content must include, at a minimum, communication of the following:

i. That harassing conduct will not be tolerated;

ii. The definition of harassment and the types of conduct that constitute unlawful harassment on the basis of the protected bases listed in (A)(1); and

iii. The right to file a harassment complaint under 29 CFR 30.14.

b. Making all facilities and registered apprenticeship activities available without regard to the protected bases listed in (A)(1) except that if the sponsor provides restrooms or changing facilities, the sponsor must provide separate or single-user restrooms and changing facilities to assure privacy between the sexes.

c. Establishing and implementing procedures for handling and resolving complaints about harassment and intimidation based on the protected bases listed in (A)(1), as well as complaints about retaliation for engaging in protected activity described in 29 CFR 30.17.

d. Compliance with Federal and State equal employment opportunity laws. The sponsor must comply with all other applicable Federal and State laws and regulations that require equal employment opportunity without regard to the protected bases in (A)(1) and any other bases protected under limited circumstances in the Colorado Anti-Discrimination Act (C.R.S. § 24-34-402 through 402.7). Failure to comply with such laws if such noncompliance is related to the equal employment opportunity of apprentices and/or graduates of such a registered apprenticeship program under this plan is grounds for deregistration or the imposition of other enforcement actions in accordance with Section O. of this Rule.

5. Equal opportunity pledge.

a. Each sponsor of a registered apprenticeship program must include in its Standards of Apprenticeship and registered apprenticeship opportunity announcements the following equal opportunity pledge:

[Name of sponsor] will not discriminate against registered apprenticeship applicants or apprentices based on race, color, religion, creed, national origin, ancestry, sex (including pregnancy and gender identity), gender expression, childbirth and related conditions, sexual orientation, genetic information, or because they are an individual with a disability or a person 40 years old or older. [Name of sponsor] will take affirmative action to provide equal opportunity in apprenticeship and will operate the registered apprenticeship program as required under Title 29 of the Code of Federal Regulations, part 30.

b. The nondiscrimination bases listed in this pledge may be broadened to conform to consistent local requirements. Sponsors may include additional protected bases but may not exclude any of the bases protected by this Rule.

6. Compliance.

a. Current sponsors: A sponsor that has a registered apprenticeship program as of the effective date of this Rule must comply with all obligations of this section by the effective date of this Rule.

b. New sponsors: A sponsor registering after the effective date of this Rule shall comply with all obligations of this section upon registration.

D. Affirmative action programs.

1. Definition and purpose. As used in this plan:

a. An affirmative action program is designed to ensure equal opportunity and prevent discrimination in registered apprenticeship programs. An affirmative action program is more than mere passive nondiscrimination. Such a program requires the sponsor to take affirmative steps to encourage and promote equal opportunity, to create an environment free from discrimination, and to address any barriers to equal opportunity in registered apprenticeship. An affirmative action program is more than a paperwork exercise. It includes those policies, practices, and procedures, including self-analyses, that the sponsor implements to ensure that all qualified applicants and apprentices are receiving an equal opportunity for recruitment, selection, advancement, retention and every other term and privilege associated with registered apprenticeship. An affirmative action program should be a part of the way the sponsor regularly conducts its registered apprenticeship program.

b. A central premise underlying affirmative action is that, absent discrimination, over time a sponsor's registered apprenticeship program, generally, will reflect the sex, race, ethnicity, and disability profile of the labor pools from which the sponsor recruits and selects. Consistent with this premise, affirmative action programs contain a diagnostic component which includes quantitative analyses designed to evaluate the composition of the sponsor's registered apprenticeship program and compare it to the composition of the relevant labor pools. If women, individuals with disabilities, or individuals from a particular minority group, for example, are not being admitted into registered apprenticeship at a rate to be expected given their availability in the relevant labor pool, the sponsor's affirmative action program must include specific, practical steps designed to address any barriers to equal opportunity that may be contributing to this underutilization.

c. Effective affirmative action programs include internal auditing and reporting systems as a means of measuring the sponsor's progress toward achieving a registered apprenticeship program that would be expected absent discrimination.

d. An affirmative action program also ensures equal opportunity in registered apprenticeship by incorporating the sponsor's commitment to equality in every aspect of the registered apprenticeship program. Therefore, as part of its affirmative action program, a sponsor must monitor and examine its employment practices, policies and decisions and evaluate the impact such practices, policies and decisions have on the recruitment, selection and advancement of apprentices. It must evaluate the impact of its employment and personnel policies on minorities, women, and persons with disabilities, and revise such policies accordingly where such policies or practices are found to create a barrier to equal opportunity.

e. The commitments contained in an affirmative action program are not intended and must not be used to discriminate against any qualified applicant or apprentice on the basis of the protected bases listed in (A)(1).

2. Adoption of affirmative action programs. Sponsors other than those exempted in (D)(4) of this section must develop and maintain an affirmative action program, setting forth that program in a written plan. The components of the written plan, as detailed in Sections E. through I. of this Rule, must be developed in accordance with the respective compliance dates and made available to the SAA any time thereafter upon request.

3. Contents of affirmative action programs. An affirmative action program must include the following components in addition to those required of all sponsors by Section B of this Rule:

a. Utilization analysis for race, sex, and ethnicity, as described in Section E. and 29 CFR 30.5;

b. Establishment of utilization goals for race, sex, and ethnicity, as described in Section F. and 29 CFR 30.6;

c. Utilization goals for individuals with disabilities, as described in Section G. and 29 CFR 30.7;

d. Targeted outreach, recruitment, and retention, as described in Section H. and 29 CFR 30.8;

e. Review of personnel processes, as described in Section I. and 29 CFR 30.9; and

f. Invitations to self-identify, as described in Section J. and 29 CFR 30.11

4. Exemptions-

a. Programs with fewer than five apprentices. A sponsor is exempt from the requirements of Sections (D)(2) and (D)(3) of this Rule if the sponsor's registered apprenticeship program has fewer than five apprentices registered, unless such a program was adopted to circumvent the requirements of this plan.

b. Programs subject to approved equal employment opportunity programs. A sponsor is exempt from the requirements of Sections (D)(2) and (D)(3) of this plan if the sponsor both submits to the SAA satisfactory evidence that it is in compliance with an equal employment opportunity program providing for affirmative action in apprenticeship, including the use of goals for any underrepresented group or groups of individuals, which has been approved as meeting the requirements of either title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000e et seq.) and agrees to extend such program to include individuals with disabilities, or if the sponsor submits to the SAA satisfactory evidence that it is in compliance with an equal employment opportunity program providing for affirmative action in apprenticeship, including the use of goals for any underrepresented group or groups of individuals, which has been approved as meeting the requirements of both Executive Order 11246, as amended, and section 503 of the Rehabilitation Act, as amended (29 U.S.C. 793), and their implementing regulations at title 41 of the Code of Federal Regulations, Chapter 60. Provided that programs approved, modified or renewed subsequent to the effective date of this Rule will qualify for this exception only if the goals for any underrepresented group for the selection of apprentices provided for in such programs are likely to be equal to or greater than the goals required under this plan.

5. Written affirmative action plans. Sponsors required to undertake an affirmative action program must create and update a written document memorializing and discussing the contents of the program set forth in Section (D)(3) of this plan.

a. Compliance-

i. Current sponsors. The initial written affirmative action plan for such programs must be completed within two years after the effective date of this Rule. The written affirmative action plan for such programs must be updated every time the sponsor completes workforce analyses required by Sections E. and G.

ii. Registered apprenticeship programs registered after the effective date of this Rule. The initial written affirmative action plan for such programs must be completed within two years of registration. The written affirmative action plan for such programs must be updated every time the sponsor completes workforce analyses required by Sections E. and G.

E. Utilization analysis for race, sex, and ethnicity.

1. Purpose. The purpose of the utilization analysis is to provide sponsors with a method for assessing whether possible barriers to registered apprenticeship exist for particular groups of individuals by determining whether the race, sex, and ethnicity of apprentices in a sponsor's registered apprenticeship program is reflective of persons available for apprenticeship by race, sex, and ethnicity in the relevant recruitment area. Where significant disparity exists between availability and representation, the sponsor will be required to establish a utilization goal pursuant to Section (F)(1) and 29 CFR 30.6.

2. Analysis of apprenticeship program workforce-

a. Process. Sponsors must analyze the race, sex, and ethnic composition of their apprentice workforce. This is a two-step process. First, each sponsor must group all apprentices in its registered apprenticeship program by occupational title. Next, for each occupation represented, the sponsor must identify the race, sex, and ethnicity of its apprentices within that occupation.

b. Schedule of analyses. Each sponsor is required to conduct an apprenticeship program workforce analysis at each compliance review, and again if and when three years have passed without a compliance review. This updated workforce analysis should be compared to the utilization goal established at the sponsor's most recent compliance review to determine if the sponsor is underutilized, according to the process in Section (E)(2)(a) of this plan.

c. Compliance date.

i. Current sponsors: A sponsor that has a registered apprenticeship program as of the effective date of this Rule must conduct its first workforce analysis, pursuant to this section, no later than two years after the effective date of this Rule.

ii. New sponsors: A sponsor registering with the SAA after the effective date of this Rule must conduct its initial workforce analysis pursuant to this section no later than two years after the date of registration.

3. Availability analysis-

a. The purpose of the availability analysis is to establish a benchmark against which the demographic composition of the sponsor's registered apprenticeship program can be compared in order to determine whether barriers to equal opportunity may exist with regard to the sponsor's registered apprenticeship program.

b. Availability is an estimate of the number of qualified individuals available for apprenticeship by race, sex, and ethnicity expressed as a percentage of all qualified persons available for apprenticeship in the sponsor's relevant recruitment area.

c. In determining availability, the following factors must be considered for each major occupation group represented in the sponsor's registered apprenticeship program standards:

i. The percentage of individuals who are eligible for enrollment in the registered apprenticeship program within the sponsor's relevant recruitment area broken down by race, sex, and ethnicity; and

ii. The percentage of the sponsor's employees who are eligible for enrollment in the registered apprenticeship program, broken down by race, sex, and ethnicity.

d. In determining availability, the relevant recruitment area is defined as the geographical area from which the sponsor usually seeks or reasonably could seek apprentices. The sponsor must identify the relevant recruitment area in its written affirmative action plan. The sponsor may not draw its relevant recruitment area in such a way as to have the effect of excluding individuals based on race, sex, or ethnicity from consideration, and must develop a brief rationale for selection of that recruitment area.

e. Availability will be derived from the most current and discrete statistical information available. Examples of such information include census data, data from local job service offices, and data from colleges or other training institutions.

f. Sponsors, working with the SAA, will conduct availability analyses at each compliance review.

4. Rate of utilization. To determine the rate of utilization, the sponsor, working with the SAA, must group each occupational title in its apprenticeship workforce by major occupation group and compare the racial, sex, and ethnic representation within each major occupation group to the racial, sex, and ethnic representation available in the relevant recruitment area, as determined in Section (E)(3) of this plan. When the sponsor's utilization of women, Hispanics or Latinos, or a particular racial minority group is significantly less than would be reasonably expected given the availability of such individuals for apprenticeship, the sponsor must establish a utilization goal for the affected group in accordance with the procedures set forth in Section F. of this plan. Sponsors are not required or expected to establish goals where no significant disparity in utilization rates has been found.

F. Establishment of utilization goals for race, sex, and ethnicity

1. Where, pursuant to Section (E)(4) and 29 CFR 30.5, a sponsor is required to establish a utilization goal for a particular racial, sex, or ethnic group in a major occupation group in its registered apprenticeship program, the sponsor, working with the SAA, must establish a percentage goal at least equal to the availability figure derived under 29 CFR 30.5(c) for that major occupation group.

2. A sponsor's determination under 29 CFR 30.5 that a utilization goal is required constitutes neither a finding nor an admission of discrimination.

3. Utilization goals serve as objectives or targets reasonably attainable by means of applying every good faith effort to make all aspects of the entire affirmative action program work. Utilization goals are used to measure the effectiveness of the sponsor's outreach, recruitment, and retention efforts.

4. In establishing utilization goals, the following principles apply:

a. Utilization goals may not be rigid and inflexible quotas, which must be met, nor are they to be considered either a ceiling or a floor for the selection of particular groups as apprentices. Quotas are expressly forbidden.

b. Utilization goals may not provide a sponsor with a justification to extend a preference to any individual, select an individual, or adversely affect an individual's status as an apprentice, on the basis of that person's race, sex, or ethnicity.

c. Utilization goals do not create set-asides for specific groups, nor are they intended to achieve proportional representation or equal results.

d. Utilization goals may not be used to supersede eligibility requirements for registered apprenticeship. Affirmative action programs prescribed by this Rule do not require sponsors to select a person who lacks qualifications to participate in the registered apprenticeship program successfully, or select a less-qualified person in preference to a more qualified one.

G. Utilization goals for individuals with disabilities.

1. Utilization goal. The Administrator of OA has established a utilization goal of 7 percent for employment of qualified individuals with disabilities as apprentices for each major occupation group within which the sponsor has an apprenticeship program.

2. Purpose. The purpose of the utilization goal established in Section (G)(1) of this plan is to establish a benchmark against which the sponsor must measure the representation of individuals with disabilities in the sponsor's apprentice workforce by major occupation group. The goal serves as an equal opportunity objective that should be attainable by complying with all of the affirmative action requirements of this Rule.

3. Periodic review of goal. The Administrator of OA will periodically review and update, as appropriate, the utilization goal established in Section (G)(1) of this plan.

4. Utilization analysis-

a. Purpose. The utilization analysis is designed to evaluate the representation of individuals with disabilities in the sponsor's apprentice workforce grouped by major occupation group. If individuals with disabilities are represented in the sponsor's apprentice workforce in any given major occupation group at a rate less than the utilization goal, the sponsor must take specific measures outlined in Section (H) of this plan.

b. Apprentice workforce analysis-

i. Process. Sponsors are required to analyze the representation of individuals with disabilities within their apprentice workforce by occupation. This is a two-step process. First, as required in 29 CFR 30.5, each sponsor must group all apprentices in its registered apprenticeship program according to the occupational titles represented in its registered apprenticeship program. Next, for each occupation represented, the sponsor must identify the number of apprentices with disabilities.

ii. Schedule of evaluation. The sponsor must conduct its apprentice workforce analysis at each compliance review, and again if and when three years have passed without a compliance review. This updated workforce analysis, grouped according to major occupation groups, should then be compared to the utilization goal established under Section (G)(1) of this plan.

iii. Compliance.

I. Sponsors registered as of the effective date of this Rule: A sponsor must conduct its first workforce analysis, pursuant to this section, no later than two years after the effective date of this Rule.

II. New sponsors: A sponsor registering after the effective date of this Rule must conduct its initial workforce analysis pursuant to this section no later than two years after the date of registration.

5. Identification of problem areas. When the sponsor, working with the SAA, determines that the percentage of individuals with disabilities in one or more major occupation groups within which a sponsor has apprentices is less than the utilization goal established in Section (G)(1) of this plan, the sponsor must take steps to determine whether and/or where impediments to equal opportunity exist. When making this determination, the sponsor must look at the results of its assessment of personnel processes required by Section I. and 29 CFR 30.9 and the effectiveness of its outreach and recruitment efforts required by Section H. and 29 CFR 30.8, if applicable.

6. Action-oriented programs. The sponsor must undertake action-oriented programs, including targeted outreach, recruitment, and retention activities identified in 29 CFR 30.8, designed to correct any problem areas that the sponsor identified pursuant to its review of personnel processes and outreach and recruitment efforts.

7. Utilization goal relation to discrimination. A determination that the sponsor has not attained the utilization goal established in Section (G)(1) of this plan in one or more major occupation groups does not constitute either a finding or admission of discrimination in violation of this rule.

8. Utilization goal not a quota or ceiling. The utilization goal established in Section (G)(1) of this plan must not be used as a quota or ceiling that limits or restricts the employment of individuals with disabilities as apprentices.

H. Targeted outreach, recruitment, and retention.

1. Minimum activities required. Where a sponsor has found underutilization and established a utilization goal for a specific group or groups pursuant to Section F. and 29 CFR 30.6 and/or where a sponsor has determined pursuant to Section (G)(5) that there are problem areas resulting in impediments to equal employment opportunity, the sponsor must undertake targeted outreach, recruitment, and retention activities that are likely to generate an increase in applications for registered apprenticeship and improve retention of apprentices from the targeted group or groups and/or from individuals with disabilities, as appropriate. In furtherance of this requirement, the sponsor must:

a. Set forth in its written affirmative action plan the specific targeted outreach, recruitment, and retention activities it plans to take for the upcoming program year. Such activities must include at a minimum:

i. Dissemination of information to organizations serving the underutilized group regarding the nature of registered apprenticeship, requirements for selection for registered apprenticeship, availability of registered apprenticeship opportunities, and the equal opportunity pledge of the sponsor. These organizations may include: Community-based organizations; local high schools; local community and technical colleges; local Career and Technical Education providers; and local workforce system partners including Colorado Workforce Centers; Human Services providers; Division of Vocational Rehabilitation (DVR) centers;

ii. Advertising openings for registered apprenticeship opportunities by publishing advertisements in appropriate media which have wide circulation in the relevant recruitment areas;

iii. Cooperation with local school boards and Career and Technical Education providers to develop and/or establish relationships with pre-apprenticeship programs targeting students from the underutilized group to prepare them to meet the standards and criteria required to qualify for entry into registered apprenticeship programs; and

iv. Establishment of linkage agreements or partnerships enlisting the assistance and support of pre-apprenticeship programs, community-based organizations, advocacy organizations, or other appropriate organizations, in recruiting qualified individuals for registered apprenticeship.

b. Evaluate and document after every selection cycle for registering apprentices the overall effectiveness of such activities;

c. Refine its targeted outreach, recruitment, and retention activities as needed; and

d. Maintain records of its targeted outreach, recruitment, and retention activities and records related to its evaluation of these activities.

2. Other activities. In addition to the activities set forth in Section (H)(1) of this plan, as a matter of best practice, sponsors are encouraged but not required to consider other outreach, recruitment, and retention activities that may assist sponsors in addressing any barriers to equal opportunity in registered apprenticeship. Such activities include but are not limited to:

a. Enlisting the use of journeyworkers from the underutilized group or groups to assist in the implementation of the sponsor's affirmative action program;

b. Enlisting the use of journeyworkers from the underutilized group or groups to mentor apprentices and to assist with the sponsor's targeted outreach and recruitment activities; and

c. Conducting exit interviews of each apprentice who leaves the sponsor's registered apprenticeship program prior to receiving a certificate of completion to understand better why the apprentice is leaving the program and to help shape the sponsor's retention activities.

I. Review of personnel processes.

1. As part of its affirmative action program, the sponsor must, for each registered apprenticeship program, engage in an annual review of its personnel processes related to the administration of the apprenticeship program to ensure that the sponsor is operating an apprenticeship program free from discrimination based on the protected bases listed in (A)(1). This annual review is required regardless of whether the sponsor is underutilized as described in Section (E)(4). The review must be a careful, thorough, and systematic one and include review of all aspects of the registered apprenticeship program at the program, industry and occupation level, including, but not limited to, the qualifications for registered apprenticeship, application and selection procedures, wages, outreach and recruitment activities, advancement opportunities, promotions, work assignments, job performance, rotations among all work processes of the occupation, disciplinary actions, handling of requests for reasonable accommodations, and the program's accessibility to individuals with disabilities (including to the use of information and communication technology). The sponsor must make any necessary modifications to its program to ensure that its obligations under this Rule are met.

2. Compliance.

a. Current sponsors: A sponsor that has a registered apprenticeship program as of the effective date of this Rule must comply with the obligations of paragraph (1) of this section within two years of the effective date of this Rule.

b. New sponsors: A sponsor registering with the SAA after the effective date of this rule shall comply with the obligations of paragraph (1) of this section within two years after the date of registration.

c. The sponsor must include a description of its review in its written affirmative action plan and identify in the written plan any modifications made or to be made to the program as a result of its review.

J. Selection of apprentices.

1. A sponsor's procedures for selection of apprentices must be included in the written plan for Standards of Apprenticeship submitted to and approved by the SAA, as required under Rule 1.5(C).

2. Sponsors may utilize any method or combination of methods for selection of apprentices, provided that the selection method(s) used meets the following requirements:

a. The use of the selection procedure(s) must comply with the Uniform Guidelines on Employee Selection Procedures (UGESP) ( 41 CFR part 60-3), including the requirements to evaluate the impact of the selection procedure on race, sex, and ethnic groups (Hispanic or Latino/non-Hispanic or Latino) and to demonstrate job-relatedness and business necessity for those procedures that result in adverse impact in accordance with the requirements of UGESP.

b. The selection procedure(s) must be uniformly and consistently applied to all applicants and apprentices within each selection procedure utilized.

c. The selection procedure(s) must comply with title I of the ADA and EEOC's implementing regulations at Part 1630. This procedure(s) must not screen out or tend to screen out an individual with a disability or a class of individuals with disabilities, on the basis of disability, unless the standard, test or other selection criteria, as used by the program sponsor, is shown to be job-related for the position in question and is consistent with business necessity.

d. The selection procedure(s) must be facially neutral in terms of the protected bases listed in Section (A)(1).

K. Invitation to self-identify as an individual with a disability.

1. Pre-offer.

a. A sponsor adopting an affirmative action program pursuant to Section D. must invite applicants for registered apprenticeship to inform the sponsor whether the applicant believes that he or she is an individual with a disability as defined in Rule 1.3 . This invitation must be provided to each applicant when the applicant applies or is considered for registered apprenticeship. The invitation may be included with the application materials for registered apprenticeship, but must be separate from the application.

b. The sponsor must invite an applicant to self-identify as required in paragraph (a) of this section using the voluntary disclosure form prescribed by the Administrator and published on the OA Web site.

2. Post offer.

a. At any time after acceptance into the registered apprenticeship program, but before the applicant begins their registered apprenticeship, the sponsor must invite the applicant to inform the sponsor whether the applicant believes that he or she is an individual with a disability as defined in Rule 1.3.

b. The sponsor must invite an applicant to self-identify as required in paragraph (a) of this section using the voluntary disclosure form prescribed by the Administrator and published on the OA Web site.

3. Apprentices.

a. Within the timeframe specified in paragraph (8) below, the sponsor must make a one-time invitation to each current apprentice to inform the sponsor whether he or she is an individual with a disability as defined in Rule 1.3 . The sponsor must make this invitation using the voluntary disclosure form prescribed by the Administrator and published on the OA Web site.

b. Thereafter, the sponsor must remind apprentices at least yearly that they may voluntarily update their disability status.

4. Voluntary self-identification for apprentices. The sponsor may not compel or coerce an individual to self-identify as an individual with a disability.

5. Confidentiality. The sponsor must keep all information on self-identification confidential and must maintain it in a data analysis file (rather than the medical files of individual apprentices) as required under 29 CFR 30.12(e). The sponsor must provide self-identification information to the SAA upon request. Self-identification information may be used only in accordance with this Rule.

6. Affirmative action obligations. Nothing in this section may relieve the sponsor of its obligation to take affirmative action with respect to those applicants and apprentices of whose disability the sponsor has knowledge.

7. Nondiscrimination obligations. Nothing in this section may relieve the sponsor from liability for discrimination in violation of this Rule.

8. Compliance dates.

a. Sponsors registered as of the effective date of this Rule: A sponsor must begin inviting applicants and apprentices to identify as individuals with disabilities, pursuant to this section, no later than the effective date of this Rule. A sponsor must also invite each of its current apprentices to voluntarily inform the sponsor whether the apprentice believes that he or she is an individual with a disability, as defined in 29 CFR 30.2, no later than the effective date of this Rule.

b. New sponsors: A sponsor registering after the effective date of this Rule must begin inviting applicants and apprentices to identify as individuals with disabilities, pursuant to this section, no later than two years after the date of registration. A sponsor covered by this subparagraph must also invite each of its current apprentices to voluntarily inform the sponsor whether the apprentice believes that he or she is an individual with a disability, as defined in Rule 1.3, no later than two years after the date of registration.

L. Recordkeeping.

1. General obligation. Each sponsor must collect such data and maintain such records as the SAA finds necessary to determine whether the sponsor has complied or is complying with the requirements of this Rule. Such records must include, but are not limited to records relating to:

a. Selection for registered apprenticeship, including applications, tests and test results, interview notes, bases for selection or rejection, and any other records required to be maintained under the Uniform Guidelines on Employee Selection Procedures (UGESP) at 41 CFR part 60-3 ;

b. The invitation to self-identify as an individual with a disability;

c. Information relative to the operation of the registered apprenticeship program, including but not limited to job assignments in all components of the occupation as required under Rule 1.5 , promotion, demotion, transfer, layoff, termination, rates of pay, other forms of compensation, conditions of work, hours of work, hours of training provided, and any other personnel records relevant to EEO complaints filed with the SAA under Section N. or with other enforcement agencies;

d. Compliance with the requirements of Section B. and 29 CFR 30.3;

e. Requests for reasonable accommodation; and

f. Any other records pertinent to a determination of compliance with these regulations, as may be required by the SAA.

2. Sponsor identification of record. For any record the sponsor maintains pursuant to this Rule, the sponsor must be able to identify the race, sex, ethnicity (Hispanic or Latino/non-Hispanic or Latino), and when known, disability status of each apprentice, and where possible, the race, sex, ethnicity, and disability status of each applicant to apprenticeship and supply this information upon request to the SAA.

3. Affirmative action programs. Each sponsor required under Section D. to develop and maintain an affirmative action program must retain both the written affirmative action plan and documentation of its component elements set forth in Sections E, F, G, H, I, and J.

4. Maintenance of records. The records required by this Rule and any other information relevant to compliance with this Rule must be maintained for 5 years from the date of the making of the record or the personnel action involved, whichever occurs later, and must be made available upon request to the SAA or other authorized representative in such form as the SAA may determine is necessary to enable it to ascertain whether the sponsor has complied or is complying with this Rule. Failure to preserve complete and accurate records as required by paragraphs (a), (b), and (c) of this section constitutes noncompliance with this Rule.

5. Confidentiality and use of medical information.

a. Any information obtained pursuant to this Rule regarding the medical condition or history of an applicant or apprentice must be collected and maintained on separate forms and in separate medical files and treated as a confidential medical record, except that:

i. Supervisors and managers may be informed regarding necessary restrictions on the work or duties of the applicant or apprentice and necessary accommodations;

ii. First aid and safety personnel may be informed, when appropriate, if the disability might require emergency treatment; and

iii. Government officials engaged in enforcing this Rule, the laws administered by the USDOL Office of Federal Contract Compliance Programs, or the ADA, must be provided relevant information on request.

b. Information obtained under this Rule regarding the medical condition or history of any applicant or apprentice may not be used for any purpose inconsistent with this Rule.

6. Access to records. Each sponsor must permit access during normal business hours to its places of business for the purpose of conducting on-site EEO compliance reviews and complaint investigations and inspecting and copying such books, accounts, and records, including electronic records, and any other material the SAA deems relevant to the matter under investigation and pertinent to compliance with this EEO plan. The sponsor must also provide the SAA access to these materials, including electronic records, off-site for purposes of conducting EEO compliance reviews and complaint investigations. Upon request, the sponsor must provide the SAA information about all format(s), including specific electronic formats, in which its records and other information are available. Information obtained in this manner will be used only in connection with the administration of this plan or other applicable EEO laws.

M. Equal employment opportunity compliance reviews.

1. Conduct of compliance reviews. The SAA will regularly conduct EEO compliance reviews to determine if the sponsor maintains compliance with this EEO plan and will also conduct EEO compliance reviews when circumstances warrant. An EEO compliance review may consist of, but is not limited to, comprehensive analyses and evaluations of each aspect of the registered apprenticeship program through off-site reviews, such as desk audits of records submitted to the SAA, and on-site reviews conducted at the sponsor's establishment that may involve examination of records required under this Rule; inspection and copying of documents related to recordkeeping requirements of this Rule; and interviews with employees, apprentices, journeyworkers, supervisors, managers, and hiring officials.

2. Notification of compliance review findings. Within 45 business days of completing an EEO compliance review, the SAA must present a written Notice of Compliance Review Findings to the sponsor's contact person through registered or certified mail, with return receipt requested. If the compliance review indicates a failure to comply with this rule, the SAA will so inform the sponsor in the Notice and will set forth in the Notice the following:

a. The deficiency(ies) identified;

b. How to remedy the deficiency(ies);

c. The timeframe within which the deficiency(ies) must be corrected; and

d. Enforcement actions may be undertaken if compliance is not achieved within the required timeframe.

3. Compliance.

a. When a sponsor receives a Notice of Compliance Review Findings that indicates a failure to comply with this Rule, the sponsor must, within 30 business days of notification, either implement a compliance action plan and notify the SAA of that plan or submit a written rebuttal to the Findings. Sponsors may also seek to extend this deadline one time by up to 30 days for good cause shown. If the SAA upholds the Notice after receiving a written response, the sponsor must implement a compliance action plan within 30 days of receiving the notice from the SAA upholding its Findings. The compliance action plan must include, but is not limited to, the following provisions:

i. A specific commitment, in writing, to correct or remediate identified deficiency(ies) and area(s) of noncompliance;

ii. The precise actions to be taken for each deficiency identified;

iii. The time period within which the cited deficiency(ies) will be remedied and any corrective program changes implemented; and

iv. The name of the individual(s) responsible for correcting each deficiency identified.

b. Upon the SAA's approval of the compliance action plan, the sponsor may be considered in compliance with this rule provided that the compliance action plan is implemented.

4. Enforcement actions. Any sponsor that fails to implement its compliance action plan within the specified timeframes may be subject to an enforcement action under Section O.

N. Complaints.

1. Requirements for individuals filing complaints-

a. Who may file. Any individual who believes that they have been or are being discriminated against on the basis of race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, disability, creed, gender identity, gender expression, ancestry, pregnancy or childbirth (or related conditions) with regard to registered apprenticeship, or who believe they have been retaliated against as described in Section Q, may, personally file a written complaint with the SAA or the Registration Agency with whom the apprenticeship program is registered.

b. Time period for filing a complaint. Generally, a complaint must be filed within 300 days of the alleged discrimination or specified failure to follow the equal opportunity standards. However, for good cause shown, the SAA may extend the filing time. The time period for filing is for the administrative convenience of the SAA and does not create a defense for the respondent.

c. Contents of the complaint. Each complaint must be made in writing and must contain the following information:

i. The complainant's name, address, email address and telephone number, or other means for contacting the complainant;

ii. The identity of the respondent (the individual or entity that the complainant alleges is responsible for the discrimination);

iii. 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 complainant believes the actions were discriminatory (for example, because of their race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, disability, creed, gender identity, gender expression, ancestry, pregnancy or childbirth (or related conditions)); and

iv. The complainant's signature.

2. Requirements of sponsors. Sponsors must provide written notice to all applicants for registered apprenticeship and all apprentices of their right to file a discrimination complaint and the procedures for doing so. The notice must include the address, phone number, and other contact information for the SAA that will receive and investigate complaints filed under this EEO plan. The notice must be provided in the application for registered apprenticeship and must also be displayed in a prominent, publicly available location where all apprentices will see the notice. The notice must contain 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, creed, national origin, ancestry, sex (including pregnancy and gender identity), gender expression, childbirth and related conditions, sexual orientation, genetic information, age (40 or older), or disability. The sponsor must ensure equal opportunity with regard to all terms, conditions, and privileges associated with registered 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:

Colorado Department of Labor & Employment

Attention: State Apprenticeship Agency Director

Office of the Future of Work

633 17th Street, Suite 201

(720) 204-8608

apprenticeship@state.co.us

You may also be able to file complaints directly with the EEOC, or State fair employment practices agency. If those offices have jurisdiction over the sponsor/employer, their contact information is listed below.

Colorado Civil Rights Division

1560 Broadway, Suite 825

Denver, CO 80202

Phone: 303-894-2997 (para español, oprima dos)

Toll Free: 800-886-7675

DORA_CCRD@state.co.us

Equal Employment Opportunity Commission (EEOC)

950 17th St, Suite 300

Denver, CO 80202

Phone: 800-669-4000

TTY: 800-669-6820

ASL Video Phone: 844-234-5122

Attention: EEOC Director

https://publicportal.eeoc.gov

Each complaint filed must be made in writing and include the following information:

a. Complainant's name, address, email address and telephone number, or other means for contacting the complainant;

b. 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);

c. 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 their race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, disability, creed, gender identity, gender expression, ancestry, pregnancy or childbirth (or related conditions));

d. The complainant's signature.

3. Requirements of the SAA

a. Conduct investigations. The investigation of a complaint filed under this Rule will be undertaken by the SAA, and will proceed as expeditiously as possible. In conducting complaint investigations, the SAA must:

i. Provide written notice to the complainant acknowledging receipt of the complaint;

ii. Contact the complainant, if the complaint form is incomplete, to obtain full information necessary to initiate an investigation;

iii. Initiate an investigation upon receiving a complete complaint;

iv. Complete a thorough investigation of the allegations of the complaint and develop a complete case record that must contain, but is not limited to, the name, address, and telephone number of each person interviewed, the interview statements, copies, transcripts, or summaries (where appropriate) of pertinent documents, and a narrative report of the investigation with references to exhibits and other evidence which relate to the alleged violations; and v. Provide written notification of the SAA's findings to both the respondent and the complainant.

b. Seek compliance. Where a report of findings from a complaint investigation indicates a violation of the nondiscrimination requirements of this EEO plan, the SAA should attempt to resolve the matter quickly at the SAA level whenever appropriate. Where a complaint of discrimination cannot be resolved at the SAA level to the satisfaction of the complainant, the SAA shall refer the complaint to other Federal, State or local EEO agencies, as appropriate.

c. Referrals to other EEO agencies. The SAA, at its discretion, may choose to refer a complaint immediately upon its receipt or any time thereafter to:

i. The EEOC;

ii. The United States Attorney General;

iii. The U.S. Department of Labor's Office of Federal Contract Compliance Programs; or

iv. The Colorado Civil Rights Division

O. Enforcement actions.

1. Where the SAA, as a result of a compliance review, complaint investigation, or other reason, determines that the sponsor is not operating its registered apprenticeship program in accordance with this Rule, the SAA shall notify the sponsor in writing of the specific violation(s) identified and may:

a. Offer the sponsor technical assistance to promote compliance with this EEO plan.

b. Suspend the sponsor's right to register new apprentices if the sponsor fails to implement a compliance action plan to correct the specific violation(s) identified within 30 business days from the date the sponsor is so notified of the violation(s), or, if the sponsor submits a written response to the findings of noncompliance, fails to implement a compliance action plan within 30 days of receiving the SAA's notice upholding its initial noncompliance findings. If the sponsor has not implemented a compliance action plan within 30 business days of notification of suspension, the SAA may institute proceedings to deregister the program in accordance with the deregistration proceedings set forth in 29 CFR Part 29 , or if the SAA does not institute such proceedings within 45 days of the start of the suspension, the suspension is lifted.

c. Take any other action authorized by law. These other actions may include, but are not limited to:

i. Referral to the EEOC;

ii. Referral to the Colorado Civil Rights Division; or

iii. Referral to the U.S. Department of Labor's Office of Federal Contract Compliance Programs.

P. Reinstatement of program registration.

1. An apprenticeship program that has been deregistered pursuant to this Rule may be reinstated by the SAA upon presentation of adequate evidence that the apprenticeship program is operating in accordance with this Rule.

Q. Intimidation and retaliation prohibited.

1. A participant in a registered apprenticeship program may not be intimidated, threatened, coerced, retaliated against, or discriminated against because the individual has:

a. Filed a complaint alleging a violation of this Rule;

b. Opposed a practice prohibited by the provisions of this Rule or any other Federal or State equal opportunity law;

c. Furnished information to, or assisted or participated in any manner, in any investigation, compliance review, proceeding, or hearing under this Rule or any Federal or State equal opportunity law; or

d. Otherwise exercised any rights and privileges under the provisions of this Rule.

2. Any sponsor that permits such intimidation or retaliation in its registered apprenticeship program, including by participating employers, and fails to take appropriate steps to prevent such activity will be subject to enforcement action under 29 CFR 30.15.

3. Requests for exemption from this Rule, or any part thereof, must be made in writing to the SAA and must contain a statement of reasons supporting the request. Exemptions may be granted for good cause by the SAA upon approval by the OA Administrator to grant an exemption.

Notes

7 CCR 1108-1.6

46 CR 11, June 10, 2023, effective 6/30/2023