N.Y. Comp. Codes R. & Regs. tit. 12 § 601.5

Current through Register Vol. 46, No. 18, May 1, 2024

Section 601.5 - Standards for apprenticeship programs

No apprenticeship program shall be registered or recertified unless the commissioner determines that the program meets all the following standards:

(a) The program shall be conducted under an organized, written plan embodying the terms and conditions of employment, training, and supervision of one or more apprentices in an apprenticeable occupation, as defined in this Part, and subscribed to by a sponsor who has undertaken to carry out the program.

(b) The program documents shall contain the equal opportunity pledge prescribed in section 600.4 of this Part and, in programs having five or more registered apprentices:

(1) an affirmative action plan in accordance with section 600.5 of this Title; and

(2) a selection method authorized in section 600.6 of this Title.

(c) The program plan shall incorporate the following standards and provisions:

(1) the employment and training of the apprentice in a skilled trade, and the required minimum qualifications for persons entering the program, including an eligible starting age of not less than 16 years, except where a higher minimum age standard is fixed by law;

(2) the term of apprenticeship, and the approach to be utilized pursuant to section 601.7 of this Part;

(3) the work processes in which the apprentice will receive supervised work experience and training on the job, and the allocation of the approximate time to be spent in each major process;

(4) a comprehensive plan for the related and supplemental instruction in technical subjects related to the trade which will be provided to each apprentice, as required by section 812 of the Labor Law, with prescribed minimum periods of instruction as determined by the State Education Department, but not less than 144 hours per year;

(i) the designation of related and supplemental instruction providers, and the medium for providing such instruction, shall be identified for the entire period of the apprentice's program;

(ii) all related and supplemental instruction providers, and the medium for providing the instruction, shall be identified on a form designated by the department and approved by the State Department of Education or its designated local education agency as provided for in 8 NYCRR Part 160;

(iii) any modifications or changes to the provider of related and supplemental instruction must be submitted within 30 days for approval;

(iv) medium for providing related instruction. Related and supplemental instruction may be provided in person or via electronic media. The sponsor shall provide the following information in order to be granted approval for the use of electronic media:

(a) the rationale for implementing electronic media;

(b) the type(s) and availability of electronic media to be utilized;

(c) a list of the courses, description, and the number of hours required to complete each course being delivered by electronic media; and

(d) a description of how testing and evaluation will be administered;

(5) the progressively increasing schedule of wages to be paid the apprentice consistent with the skill acquired. The entry wage shall be not less than the minimum wage prescribed by Federal or State minimum wage law, unless a higher wage is required by other applicable Federal law, State law, their respective regulations, or by collective bargaining agreement;

(6) the sponsor's plans for a periodic review and evaluation of the apprentice's progress in job performance and related and supplemental instruction, and the manner in which the sponsor will maintain records for each apprentice;

(7) the numeric ratio of apprentices to journeyworkers under the program as determined by the commissioner and posted on the department website, taking into consideration: proper supervision, training, continuity of employment, safety, and applicable provisions in collective bargaining agreements;

(8) the sponsor's certification that the sponsor will comply with applicable Federal, State and local occupational safety and health standards, including the sponsor's willingness to provide adequate and safe equipment and facilities for training and supervision, and safety training for apprentices on the job;

(9) the probationary period for apprentices;

(10) the placement and registration of an apprentice in accordance with the provisions of section 601.6 of this Part. The apprenticeship agreement shall directly, or by reference, incorporate the standards of the program as part of the agreement;

(11) the manner, if any, by which the sponsor proposes to grant advance standing or credit for previously acquired experience, training, skills, or aptitude for all time-based program applicants equally. Advanced standing for competency-based and hybrid program apprentices shall be based solely upon competency-based testing given prior to the date upon which the apprentice is registered. Minimum time requirements will be waived for such pre-registration testing in hybrid programs. wages will be adjusted if any advance standing or credit is granted;

(12) the manner in which the apprentice may be transferred to another employer or program, with full credit to the apprentice for satisfactory time spent and training learned;

(13) the sponsor's assurance that all training will be conducted by qualified training personnel, and that such personnel who provide related and supplemental instruction shall:

(i) meet the State Department of Education's requirements for a vocational-technical instructor, or be a subject matter expert, which is an individual, such as a journeyworker, who is recognized within an industry as having expertise in a specific occupation; and

(ii) have training in teaching techniques and adult learning styles which may occur before or after the apprenticeship instructor has started to provide the related and supplemental instruction;

(14) the sponsor's assurance that it will provide proof when the apprentice has successfully completed the apprenticeship, such that an appropriate New York State certification of completion may be issued;

(15) the sponsor's assurance that it will notify the department in accordance with section 601.4(e) of this Part and will not implement modifications to essential elements of the program such as type of apprentice wage progression, program duration, work process, change of ownership, affirmative action plan, apprentice recruitment, or decreases in apprentice wages without first submitting such modification to the department and obtaining department approval. Any other modifications or amendments to the program (such as sponsor name change, change of address, increase in apprentice wages, sponsor representative, union representative) shall be submitted to the department within 30 days of its effective date. The ratio of apprentices to journeyworkers can be changed only for the entire trade and such changes can only be made by the commissioner;

(16) the sponsor's agreement to notify the commissioner of all apprentice registrations, cancellations, transfers, and of all persons who have successfully completed their program within 30 days of such event;

(17) the sponsor's willingness to give reasonable notice to the apprentice of any proposed adverse action, and cause therefore, with a reasonable opportunity for the apprentice to undertake corrective action, where warranted, unless a substantially similar procedure is provided for in the collective bargaining agreement;

(18) the sponsor's statement that the program will be conducted, operated and administered in conformity with all applicable provisions of this Part; and

(19) the sponsor's agreement to promptly record, maintain and submit to the department such records concerning apprenticeship as may be required by the department pursuant to article 23 of the Labor Law, this Part and Part 600 of this Title, and such other laws or regulations as may apply.

(d) The sponsor shall register each apprentice:

(1) by filing a fully executed copy of the apprenticeship agreement with the department for each apprentice enrolled in the program; or

(2) by filing a master copy of an apprenticeship agreement approved by the commissioner along with a list of the name(s), address(es) and other data required by the department for registration of each individual apprentice.

(e) All sponsors of time-based or hybrid approach programs, and their signatories, if any, shall ensure that each of their apprentices maintains a record that documents task rotation and the skills acquired through the program. The apprentice shall maintain this record in a format and in a manner approved by the department. The apprentice's blue book is an acceptable method of recording task rotation and acquisition of skills through the program. Any alternative method of recording task rotation and skills acquisition shall be submitted to the department by the sponsor for approval prior to implementing its use by apprentices. The apprentice's immediate worksite journeyworker/supervisor, or an authorized representative of the sponsor who can attest to the hours and type of work performed by the apprentice during the period in question, is required to verify that the information contained in the record is accurate and shall do so by signing the record at least monthly. All sponsors of competency-based and hybrid programs shall maintain a record for each apprentice of the dates and results of any written or hands-on proficiency measurements administered.

(f) Transfer of apprentices.

(1) Intra-program transfers. A sponsor may re-assign an apprentice from one signatory to another signatory within the same program. The sponsor is not required to report that transfer to the department, nor seek the approval of the apprentice.

(2) Inter-program transfers. An apprentice registered with one sponsor, may be re-assigned to a different sponsor within the same trade.

(i) The apprentice and the sponsors must all agree to the transfer.

(ii) Reporting the transfer.

(a) When an inter-program transfer takes place, the transferring sponsor shall file an apprenticeship agreement terminating the apprentice, and the new sponsor shall execute a new apprenticeship agreement and file it with the department in order to complete the transfer.

(b) Apprenticeship agreements need to be filed with the department within 30 days of a transfer.

(iii) Transferring apprentices shall be provided with a transcript of on-the- job training and related and supplemental instruction by the current sponsor for submission to the new sponsor, including accomplishments, credits, and hours of training received by category/class name.

(3) Apprentices who leave one trade and register in another trade are not considered to be transfers. Such apprentices must meet the new sponsor's qualifications for the new trade. Credit for advanced standing will be given only for that portion of the on-the-job training and related and supplemental instruction time as may be determined by the new sponsor as appropriate for that trade and approved by the department.

(g) Signatory updating requirements. All sponsors of group-joint and group non-joint programs shall notify the department when an employer affiliates with, or disaffiliates itself from, a program, and shall do so within 90 days of the effective date. Such notification shall include the employer's name, address, and either the employer's Federal employer identification number (FEIN) or unemployment insurance employer number in an electronic format, as specified by the department. Employers are considered to be associated with a program even if such association is through some intermediary organization. Employer inactivity in a program shall not, in and of itself, constitute disassociation. Programs that use the ancillary group-sponsor signatory agreement, rather than a department approved agreement drafted by the sponsor, must provide copies of the completed ancillary group-sponsor signatory agreements along with such notification.

(h) All apprentices, irrespective of prior credit or advanced standing, must work in the program for a minimum of 2,000 hours for time-based programs.

N.Y. Comp. Codes R. & Regs. Tit. 12 § 601.5