Chapter 5101:11-3 Eligibility - Selection

5101:11-3-01 Procedures for program registration and subsequent program changes.

(A) To be eligible for program registration, a sponsor must have a physical presence in Ohio and either be incorporated in the state or have operated in Ohio for at least twelve months. This provision shall not be interpreted to preclude any employer from joining an existing apprenticeship program. The applicant must have resources to carry out the functions of a registered sponsor, including but not limited to related instruction, on-the-job training, administrative duties, and record keeping.

(B) Program registration, and changes in registered programs, must be approved by the council office in keeping with the following procedures:

(1) Each applicant for program registration must submit a set of program standards to the council office, in the form of an organized, written plan embodying the terms and conditions of employment, training, and supervision in one or more apprenticeable occupation(s) which the standards shall identify in terms of the registered apprenticeship coding system.

(2) Additionally, the standards shall provide:

(a) The name of the registration entity to which the sponsor has applied for approval; and

(b) The name and address of the organization sponsoring the program and the name, address, phone number, and signature of the sponsor's authorized representative.

(3) The standards shall include language demonstrating in detail the program's conformity with each requirement of rule 5101:11-3-02 of the Administrative Code, and specifying, where applicable, any differences among occupation courses within the program.

(4) Where the proposed standards, a collective bargaining agreement, or other instrument provide for a local union to participate in operating a program, the program's registration shall be subject to that local union's agreement or lack of objection, which shall be communicated to the council office in writing along with the standards document. Where a local union is the collective bargaining agent of the employee(s) to be trained, but is not expected to participate in operating the program, the sponsor shall provide the local union a copy of its proposed standards; shall allow forty-five days for receipt of local union comments, if any, before submitting the document to the council office; and shall append to the standards any comment(s) received in the process and an attestation that the provisions of this paragraph have been observed.

(5) The council office shall grant provisional registration to a program submitting standards in the prescribed manner, if such standards meet the requirements of division 5101:11 of the Administrative Code.

(a) Provisional registration shall be effective for one year. At the end of that period, the council office shall perform a compliance review of the program, which shall assess conformity with its approved standards and all requirements for registered programs, as described in division 5101:11 of the Administrative Code. A program found to meet the criteria of this review shall, at the council office's discretion, either receive full registration or remain in provisional status through its first full training cycle.

(b) At the end of its first full training cycle, each registered program shall receive another compliance review. Any program still provisionally registered at that point, shall become fully registered if the results of this review are satisfactory.

(c) If a one-year or first-cycle review finds that a program is either not operational or not complying with the requirements of division 5101:11 of the Administrative Code, the council office shall de-register the program.

(6) The council office shall record every provisional registration and provide the respective sponsor with confirmation of program approval by means of a certificate or other printed indicia.

(7) Any proposal by a sponsor to change an aspect of its program that is governed by division 5101:11 of the Administrative Code, shall be promptly submitted to the council office for review. Within ninety days of receiving the proposal, the council office will determine whether to approve the change. If approved, the change will be recorded as an amendment to the program standards within ninety days of the council office's decision. If not approved, the sponsor must be notified of the disapproval and the reasons therefore and must be given the appropriate technical assistance.

Replaces: part of 5101:11-2-03, part of 5101:11-3-01

Effective: 08/07/2014
R.C. 119.032 review dates: 08/01/2019
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 10/8/71, 6/20/79, 11/23/98, 3/22/04, 6/6/09

5101:11-3-02 Program requirements.

To be eligible for initial and, where applicable, continued registration, each apprenticeship program shall conform to the following requirements, applying them to each occupation course where there is more than one, and shall demonstrate conformity via respective provisions in the standards.

(A) Program content

(1) Every apprentice of the program shall be employed and shall receive both on-the-job training (OJT) and related instruction (RI) for the purpose of completing an occupation course.

(2) Every occupation course shall provide for each apprentice to receive at least two thousand hours of OJT, under the terms of a work process schedule, included in the standards, that lists the major work processes to be experienced and the approximate number of hours to be spent learning each process.

(3) For every two thousand hours of OJT, the apprentice shall receive at least one hundred forty-four hours of RI, i.e., organized instruction of demonstrated value in technical subjects concerning the apprentice's occupation. RI may be given through classroom courses, correspondence courses, electronic media, self-study, or other format(s), subject to council office approval. The sponsor shall provide an outline of RI courses or topics and the general number of hours to be spent in each, with titles and/or descriptions that clearly distinguish the subject matter.

RI shall be designed and/or provided in conjunction with the university system of Ohio (USO).

(4) For each occupation course, the program shall set criteria for the apprentice's completion of training and for progression steps toward completion, in terms of RI and OJT instructional goals that are consistent with industry norms for the occupation and are formulated according to one of three instructional models:

(a) With the time-based model, the goals shall specify which portions of the work process schedule and RI outline an apprentice must finish for, respectively, achieving each progression step and the completion of training.

(b) With the competency-based model, the goals shall specify what competencies must be acquired for completion and for attaining each progression step. A program that prepares the apprentice for an interim attainment, shall also identify the attainment in terms of the associated competency or competencies.

The standards shall define each competency in terms of specific levels of specific knowledge, skills, and abilities needed to perform an occupational function at the level normally expected in employment, and shall do so using the "KSA" terminology (details of which are found on line at http://www.onetonline.org).

The sponsor shall determine the methods by which apprentices will attain each competency, and shall describe these in the standards, including an explanation of how each component of the work process schedule and RI outline will contribute to the identified competencies.

(c) With the hybrid model, the criteria for each progression step and for completion may comprise a combination of goals that are competency-based and those that are time-based in nature as defined in paragraphs (A)(4)(a) and (A)(4)(b) of this rule; and the standards shall specify how each goal contributes to a progression step and to completion of training.

(5) The program shall adopt specific methods for verifying and recording each apprentice's completion of training and each achievement of a progression step. These methods shall be fair and consistent, and conform to all criteria for the respective instructional model, as stated here:

(a) With the time-based model, the sponsor shall stipulate, relative to completion and each progression step, what level of performance is required in each RI and OJT component, and how the program will assess performance and the hours spent by the apprentice in each component.

(b) With the competency-based model, the standards shall, in regard to completion, each progression step, and where applicable each interim attainment, stipulate the specific tests for assessing the relevant knowledge, skills, and abilities and the specific levels of test performance that are required.

In a program that prepares the apprentice for an interim credential, the sponsor shall evaluate and assess the associated attainment, and the council office shall award the credential if appropriate.

(c) With the hybrid model, the program shall confirm achievement of each progression step and of training completion according to both the time-based and competency-based criteria defined for the respective models in paragraphs (A)(5)(a) and (A)(5)(b) of this rule.

(6) For each occupation course, the program shall determine a specific term of training required for completion that conforms to the following criteria:

(a) With the time-based model, the program shall require a certain number of hours of OJT, which shall be at least ninety per cent of the number recommended by the United States office of apprenticeship for the relevant occupation course.

(b) With the competency-based model, the sponsor shall define the term by minimum and maximum periods allowed for participation in the overall occupation course, that ensure adequate time to obtain the occupational competencies identified in the work process schedule and the RI outline.

(c) With the hybrid model, the program shall stipulate both hourly requirements for total OJT and total RI, and a time-table defined by minimum and maximum periods for participation in the overall occupation course.

(7) If an occupation course allows the apprentice to obtain one or more interim credential(s), the program shall provide this opportunity on a fair and consistent basis.

(8) For all instructors of RI, the sponsor shall require documented compliance with minimum qualifications, including but not necessarily limited to the following:

(a) Currently receiving or having completed training in teaching techniques and adult learning styles; and

(b) Either:

(i) Meeting the requirements of the university system of Ohio institution with which the program, pursuant to these rules, collaborates in the design and/or delivery of RI; or

(ii) Being recognized within an industry as having expertise that qualifies them as subject matter experts in their occupation(s).

(B) Apprentice participation and welfare

(1) Enrollment

(a) The sponsor shall identify minimum qualifications for persons to enter the program, including an eligible starting age not less than sixteen years.

(b) The sponsor shall provide advanced credit toward completion to new apprentices who are eligible based on previously acquired experience, training, competency, and/or skills, and in the standards shall:

(i) Specify the criteria for granting credit; a method for evaluating applicants by these criteria and assigning them to corresponding progression steps, with commensurate wages; and rules for applying such method consistently, fairly, and without discrimination based on any consideration besides the stated criteria;

(ii) Ensure that, except for transfers between registered courses in the same occupation, no apprentice shall receive advanced OJT credit that exceeds either of the following:

(A) An amount such that the remaining time in OJT is two thousand hours or more;

(B) Seventy-five per cent of OJT required for completion, as defined by the stated term of hours in the case of time-based training, and by the minimal required period in the case of competency-based training;

(iii) Stipulate that for each credit recipient the sponsor will provide the council office at the time of his/her registration, a voucher form describing all work and training on which the credit is based (whether for OJT or RI), and records of any past work or instruction counted towards credit; and

(iv) Acknowledge that all advanced credit is subject to approval by the council office.

(c) For each apprentice enrolled, the sponsor shall have an apprenticeship agreement signed by the sponsor or its agent and by the apprentice and, if the apprentice is a minor, by his/her legal guardian; and shall retain a copy of the document for five years or until the apprentice completes training, whichever is later. Registration of the agreement, and thereby of the apprentice, shall be conditional upon approval by the council office of the agreement document, or of the requisite data submitted on line through a state-prescribed automated system.

(2) Participant status

(a) For each occupation course the program shall specify a probationary period which is reasonable in relation to the full apprenticeship term. The probationary period shall not exceed any of the following:

(i) Two thousand hours of OJT, or

(ii) Twenty-five per cent of the stated term in the case of time-based training, or twenty-five per cent of the stated minimum period in the case of competency-based training.

(b) All RI and OJT received by an apprentice during probation shall be credited toward apprenticeship completion. During this period, the sponsor and/or the apprentice shall be permitted to cancel their apprenticeship agreement without stated cause.

(c) The sponsor shall request council office registration of every apprenticeship agreement and any substantive amendment affecting apprentice training, safety or supervision. The sponsor shall also report to the council office every cancellation, extension, and suspension of an apprenticeship agreement, and the cause of same; and shall request from the council office a certificate of completion and, if applicable, an interim credential, for every registered apprentice who meets the relevant criteria. The sponsor shall initiate all such transactions within forty-five days of the respective changes in apprentice status.

(d) The transfer of an apprentice between registered programs for the same occupation, or between occupation courses within a program, shall only be effective if it is based on concurrence between the apprentice and every affected apprenticeship sponsor, and is approved by the council office in accordance with the following requirements:

(i) The apprenticeship agreement that is in effect before the transfer, must first be canceled.

(ii) A new apprenticeship agreement must be executed for enrollment in the receiving course or program.

(iii) Where an apprentice transfers between programs, all records of his/her participation in the releasing program shall be transmitted from the releasing sponsor to the new sponsor or the council office.

(3) Safety and welfare

(a) In each occupation course, the sponsor shall specify a schedule for a progressively increasing apprentice wage that at each step relates to the journey wage, in roughly the same proportion as the apprentice skill-level to the journey skill-level. The entry wage shall be no less than the minimum prescribed by the Fair Labor Standards Act of 1938, 29 U.S.C. Chapter 8, where applicable, and higher if so required by law, regulation, or a collective bargaining agreement. Approval by the council office of a program wage schedule does not ensure its conformity with the wage and hour requirements for publicly funded construction projects.

(b) The sponsor shall employ a consistent procedure for adjudicating complaints and differences that may arise between the apprentice(s) and other parties to the program; and shall make this procedure known to each apprentice, along with the name and contact information (phone number, office location, and e-mail address) of the appropriate authority under the program to receive and process complaints.

(c) The sponsor shall ensure, and demonstrate in the standards, that all apprentice work and training will take place under safe conditions, with considerations including but not limited to equipment, facilities, supervision, and instruction. Safety training shall be included both in OJT and RI.

(d) The sponsor shall provide the council office and each apprentice with the name, job title, and contact information of the sponsor's designee responsible for supervising and training apprentices, and shall immediately provide them with updates of this information when it changes.

(e) In all work activity involving an apprentice, a numeric ratio shall be maintained in the employment of apprentices to that of journey workers that is consistent with proper supervision, training, safety, and continued employment. This ratio shall be defined clearly in terms of whether it applies to the job site, department, facility, or overall work force of the employer. All apprenticeship training in building and construction occupations shall comply with the following stipulations regarding the ratio of apprentices to journey workers employed on the job site at the same time:

(i) Where a program sponsor is bound by one or more collective bargaining agreement(s) affecting the pertinent occupation(s), the ratio shall conform to the applicable terms of the agreement(s).

(ii) Where a program sponsor is not bound by such an agreement, the ratio shall conform to either of two criteria:

(A) The applicable terms of the agreement(s) affecting the pertinent occupation(s) in the geographic area nearest to the job site; or

(B) The standard formula of one journey worker for the first apprentice counted at the job site at a given time, and three journey workers for each additional apprentice at the job site at that time.

(iii) The council office retains the right to deny or rescind registration to any program where the utilized ratio does not ensure adequate safety and supervision of the apprentice(s).

(C) Program quality

(1) Every program shall meet criteria of instructional quality, including but not limited to the use of appropriate industry-recognized RI curriculum and delivery methods.

(2) To remain registered, a program must have at least one registered apprentice, except during a maximum of one year for each occurrence of the following intervals:

(a) Between the dates of a program's initial registration and registration of its first apprentice(s); and

(b) Between the dates of any apprentice's completion and registration of the next apprentice(s).

(3) A program shall not fail for more than two consecutive training cycles in any occupation course, to achieve a training completion rate that is the lesser of:

(a) Sixty-seven per cent, or

(b) The state average rate for the occupation course.

(D) Program administration

(1) Each sponsor shall keep adequate records including but not limited to:

(a) Details of recruitment and selection activities;

(b) All applications;

(c) A summary of each applicant's qualifications and assessment results, including a summary of interview responses;

(d) A copy of every notice of elimination from an eligibility pool or from the program;

(e) A copy of every registered apprentice agreement;

(f) A history of actions affecting the status of each apprentice in the program, including job assignment, promotion, demotion, lay-off, and termination; rates of pay and any other forms of compensation; conditions of work; hours of work and, separately, hours of training provided;

(g) A statement of its affirmative action plan, developed as required by rule 5101:11-5-02 of the Administrative Code, including all data and analyses developed under the requirements of paragraph (F) of rule 5101:11-5-02 of the Administrative Code;

(h) For each program selecting apprentices through an eligibility pool or "alternative" method, respectively under paragraph (C) or (E) of rule 5101:11-4-01 of the Administrative Code, evidence that its qualification criteria bear a statistically significant relationship to good performance in an apprenticeship program based on procedures set forth in 41 C.F.R. 60-3; and

(i) Any other records pertinent to determining compliance with division 5101:11 of the Administrative Code, as may be required by the council office.

(2) A copy of the information on each apprentice shall be kept in a separate file specific to that individual. The records of which applicants are selected or rejected, shall be maintained in such manner as to permit identification of minority and female participants.

(3) Each record required by this rule, and any other information relevant to compliance with division 5101:11 of the Administrative Code, shall be maintained for five years and made available upon request to the council office, the United States department of labor, or other authorized representative.

(4) The sponsor shall promptly supply the council office all information required for review of the program's modification and/or voluntary de-registration.

(E) Nothing in rule 5101:11-3-01 , 5101:11-3-02, 5101:11-4-02 , or 5101:11-4-03 of the Administrative Code (concerning, respectively: program registration procedures, program requirements, apprentice registration, and apprenticeship agreements) shall operate to invalidate:

(1) Any collective bargaining agreement provision or sponsor policy establishing higher criteria of safety and/or quality in apprenticeship; or

(2) In the standards, any special provision for veterans, minority persons, or females which is not otherwise prohibited by law, executive order, or authorized regulation.

Replaces: 5101:11-3-04, part of 5101:11-3-01

Effective: 08/07/2014
R.C. 119.032 review dates: 08/01/2019
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 10/8/71, 10/13/78, 6/20/79, 11/23/98, 3/22/04, 6/6/09

5101:11-3-03 Reciprocity agreement.

(A) An apprenticeship program shall be accorded registration or approval reciprocity by the council office at the request of the sponsoring entity, where that entity is jointly formed on a multi-state basis by employers and unions in other than the building and construction industry and the program is registered pursuant to all requirements of division 5101:11 of the Administrative Code by any recognized state apprenticeship agency or by the office of apprenticeship.

(B) For state purposes, the council office has the authority to approve out-of-state apprenticeship programs for the building and construction industry pursuant to a reciprocity agreement with any or all of Ohio's contiguous states, provided such agreement includes all of the following criteria:

(1) The jurisdiction of the apprenticeship program must extend into the state of Ohio. In addition, the jurisdiction of the apprenticeship program must extend into the county where the on-the-job training is being obtained.

(2) The apprenticeship program of the contiguous state must meet the apprenticeship requirements of Ohio as provided in Chapter 5101:11-3 of the Administrative Code.

(3) A copy of the affected program standards must be on file with the council office prior to approval being granted.

(4) Verification of each apprentice's indenturement with affected program shall be on file with the council office.

(5) Upon request, the program requesting approval must demonstrate to the satisfaction of the council office that the related instruction of its apprentices shall not be interrupted when they work in Ohio.

(C) The council office will accord reciprocal approval for federal purposes to apprentices, apprenticeship programs, and program standards that are registered outside of Ohio by the office of apprenticeship or a registration agency, if such reciprocity is requested by the respective program sponsors. Programs seeking reciprocal approval must meet the wage and hour provisions and apprentice-journey ratio requirements of the state of Ohio.

(D) When employed on public works projects in Ohio, apprentices of any program registered or approved by the council office shall be subject to the requirements of Chapter 4115. of the Revised Code, regarding wages, apprentice-journey ratios, and work hours in such projects. The apprentice-journey ratios and rates of wages established by the Ohio department of commerce, superintendent of labor and employee safety, shall supersede those contained in the respective program standards.

Replaces: 5101:11-3-05

Effective: 08/07/2014
R.C. 119.032 review dates: 08/01/2019
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 9/15/80, 11/23/98, 1/12/01, 3/22/04, 6/6/09

5101:11-3-04 [Rescinded] Records.

Effective: 08/07/2014
R.C. 119.032 review dates: 05/22/2014
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 10/8/71, 10/13/78, 11/23/98, 3/22/04, 6/6/09

5101:11-3-05 [Rescinded] Reciprocity agreement.

Effective: 08/07/2014
R.C. 119.032 review dates: 05/22/2014
Promulgated Under: 119.03
Statutory Authority: 4139.03
Rule Amplifies: 4139.03 , 4139.05
Prior Effective Dates: 9/15/80, 11/23/98, 1/12/01, 3/22/04, 6/6/09