---
kind: "range"
citation: "29 C.F.R. §§ 30.5–30.9"
title: "29"
from: "30.5"
to: "30.9"
count: 5
url: "https://uscodex.org/cfr/29/30.5..30.9"
---

# §30.5. Utilization analysis for race, sex, and ethnicity.

- (a) **Purpose.** The purpose of the utilization analysis is to provide sponsors with a method for assessing whether possible barriers to apprenticeship exist for particular groups of individuals by determining whether the race, sex, and ethnicity of apprentices in a sponsor's 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 [§ 30.6](/cfr/29/30.6.md).
- (b) **Analysis of apprenticeship program workforce—**
  - (1) **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.
  - (2) **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 [paragraph (d)](#d) of this section.
  - (3) **Compliance date.**
    - (i) **Sponsors registered with a Registration Agency as of January 18, 2017—** A sponsor must conduct its first workforce analysis, pursuant to this section, no later than two years after January 18, 2017.
    - (ii) **New sponsors—** A sponsor registering with a Registration Agency after the effective date of the Final Rule must conduct its initial workforce analysis pursuant to this section no later than two years after the date of registration.
- (c) **Availability analysis—**
  - (1) The purpose of the availability analysis is to establish a benchmark against which the demographic composition of the sponsor's apprenticeship program can be compared in order to determine whether barriers to equal opportunity may exist with regard to the sponsor's apprenticeship program.
  - (2) 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.
  - (3) 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 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 apprenticeship program broken down by race, sex, and ethnicity.
  - (4) 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.
  - (5) 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.
  - (6) Sponsors, working with the Registration Agency, will conduct availability analyses at each compliance review.
- (d) **Rate of utilization.** To determine the rate of utilization, the sponsor, working with the Registration Agency, 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 [paragraph (c)](#c) of this section. 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 [§ 30.6](/cfr/29/30.6.md). Sponsors are not required or expected to establish goals where no significant disparity in utilization rates has been found.

# §30.6. Establishment of utilization goals for race, sex, and ethnicity.

- (a) Where, pursuant to [§ 30.5](/cfr/29/30.5.md), a sponsor is required to establish a utilization goal for a particular racial, sex, or ethnic group in a major occupation group in its apprenticeship program, the sponsor, working with the Registration Agency, must establish a percentage goal at least equal to the availability figure derived under [§ 30.5(c)](/cfr/29/30.5.md?p=c) for that major occupation group.
- (b) A sponsor's determination under [§ 30.5](/cfr/29/30.5.md) that a utilization goal is required constitutes neither a finding nor an admission of discrimination.
- (c) 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.
- (d) **In establishing utilization goals, the following principles apply—**
  - (1) 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.
  - (2) 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.
  - (3) Utilization goals do not create set-asides for specific groups, nor are they intended to achieve proportional representation or equal results.
  - (4) Utilization goals may not be used to supersede eligibility requirements for apprenticeship. Affirmative action programs prescribed by the regulations of this part do not require sponsors to select a person who lacks qualifications to participate in the apprenticeship program successfully, or select a less-qualified person in preference to a more qualified one.

# §30.7. Utilization goals for individuals with disabilities.

- (a) **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.
- (b) **Purpose.** The purpose of the utilization goal established in [paragraph (a)](#a) of this section 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 part.
- (c) **Periodic review of goal.** The Administrator of OA will periodically review and update, as appropriate, the utilization goal established in [paragraph (a)](#a) of this section.
- (d) **Utilization analysis—**
  - (1) **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 paragraphs [(e)](#e) and [(f)](#f) of this section.
  - (2) **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 [§ 30.5](/cfr/29/30.5.md), 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 group, should then be compared to the utilization goal established under [paragraph (a)](#a) of this section.
    - (iii) **Compliance date.**
      - (A) **Sponsors currently registered with a Registration Agency—** A sponsor must conduct its first workforce analysis, pursuant to this section, no later than two years after January 18, 2017.
      - (B) **New sponsors—** A sponsor registering with a Registration Agency after January 18, 2017 must conduct its initial workforce analysis pursuant to this section no later than two years after the date of registration.
- (e) **Identification of problem areas.** When the sponsor, working with the Registration Agency, 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 [paragraph (a)](#a) of this section, 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 [§ 30.9](/cfr/29/30.9.md) and the effectiveness of its outreach and recruitment efforts required by [§ 30.8](/cfr/29/30.8.md) of this part, if applicable.
- (f) **Action-oriented programs.** The sponsor must undertake action-oriented programs, including targeted outreach, recruitment, and retention activities identified in [§ 30.8](/cfr/29/30.8.md), designed to correct any problem areas that the sponsor identified pursuant to its review of personnel processes and outreach and recruitment efforts.
- (g) **Utilization goal relation to discrimination.** A determination that the sponsor has not attained the utilization goal established in [paragraph (a)](#a) of this section in one or more major occupation groups does not constitute either a finding or admission of discrimination in violation of this part.
- (h) **Utilization goal not a quota or ceiling.** The utilization goal established in [paragraph (a)](#a) of this section must not be used as a quota or ceiling that limits or restricts the employment of individuals with disabilities as apprentices.

# §30.8. Targeted outreach, recruitment, and retention.

- (a) **Minimum activities required.** Where a sponsor has found underutilization and established a utilization goal for a specific group or groups pursuant to [§ 30.6](/cfr/29/30.6.md) and/or where a sponsor has determined pursuant to [§ 30.7(f)](/cfr/29/30.7.md?p=f) 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 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:
  - (1) 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 apprenticeship, requirements for selection for apprenticeship, availability of apprenticeship opportunities, and the equal opportunity pledge of the sponsor. These organizations may include: Community-based organizations; local high schools; local community colleges; local vocational, career and technical schools; and local workforce system partners including One Stop Career Centers;
    - (ii) Advertising openings for apprenticeship opportunities by publishing advertisements in appropriate media which have wide circulation in the relevant recruitment areas;
    - (iii) Cooperation with local school boards and vocational education systems 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 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 apprenticeship;
  - (2) Evaluate and document after every selection cycle for registering apprentices the overall effectiveness of such activities;
  - (3) Refine its targeted outreach, recruitment, and retention activities as needed; and
  - (4) Maintain records of its targeted outreach, recruitment, and retention activities and records related to its evaluation of these activities.
- (b) **Other activities.** In addition to the activities set forth in [paragraph (a)](#a) of this section, 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 apprenticeship. Such activities include but are not limited to:
  - (1) Enlisting the use of journeyworkers from the underutilized group or groups to assist in the implementation of the sponsor's affirmative action program;
  - (2) 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
  - (3) Conducting exit interviews of each apprentice who leaves the sponsor's 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.

# §30.9. Review of personnel processes.

- (a) 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 race, color, religion, national origin, sex, sexual orientation, age (40 or older), genetic information, and disability. This annual review is required regardless of whether the sponsor is underutilized as described in [§ 30.5(d)](/cfr/29/30.5.md?p=d). The review must be a careful, thorough, and systematic one and include review of all aspects of the apprenticeship program at the program, industry and occupation level, including, but not limited to, the qualifications for 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 part are met.
  - (1) **Compliance date.**
    - (i) **Current sponsors—** A sponsor that has a registered apprenticeship program as of the effective date of this regulation must comply with the obligations of [paragraph (a)](#a) of this section within two years of the effective date of this rule.
    - (ii) **New sponsors—** A sponsor registering with a Registration Agency after the effective date of this regulation shall comply with the obligations of [paragraph (a)](#a) of this section within two years after the date of registration.

      (2) [Reserved]

- (b) 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.