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Chapter 2. California Apprenticeship Council
Subchapter 1. Apprenticeship
Article 4. Apprenticeship Standards
New Query

§212.3. Apprenticeship Program Self-Evaluation and Monitoring.

(a) Each apprenticeship program shall annually prepare and submit a Self-Assessment Review as well as a Program Improvement Plan to the Chief DAS; provided, however, that a program is not required to submit a Review and a Plan in the first year of its existence.

(b) The Self-Assessment Review shall contain an objective and critical appraisal of the following items at a minimum:

(1) curriculum and instruction;

(2) supervision and management;

(3) individual apprentice training plans;

(4) use of competent and qualified personnel;

(5) utilization of facilities, equipment and material;

(6) community, business and industry involvement;

(7) recruitment, assessment and placement;

(8) program promotion;

(9) program accountability;

(10) safety and drug-free environmental training; and

(11) training in the recognition of sexual harassment and illegal discrimination.

(c) The Program Improvement Plan shall contain provisions by which the program sponsor(s) represent that good faith efforts shall be made to improve identified deficiencies in program operations and in the training of apprentices. Such Plan shall contain at a minimum:

(1) remedial priorities;

(2) program improvement objectives;

(3) identification of personnel, resources, and action needed; and

(4) timelines for completion of objectives.

(d) The Chief DAS shall select a program for random audit using a method that is not based on factors specific to that audit subject. A program may be selected for random audit only once during each five-year period beginning January 1, 2000. A program may be selected for non-random audit at any time if:

(1) there have been at least two previous final determinations that the program has violated laws or regulations regulating apprenticeship; or

(2) the Chief, DAS, as the result of a previous audit under this section, has identified violations of the program's standards or laws or regulations regulating apprenticeship and believes that the violations may not have been remedied.

(e) A program that has been selected for audit shall be notified by the Chief DAS fourteen (14) days prior to the commencement of the audit. The notice shall state whether the audit is a random audit or non-random.

(f) An audit of a program shall include a review of the program records, including records of apprentice training and related and supplemental instruction; inspection of the program's training facilities; visits to on-the-job training locations; and review of individual apprentice records. Apprentice records may be reviewed by a method of random selection and not every apprentice record need be reviewed so long as a sufficient number are reviewed to fairly evaluate the program. The Chief DAS shall provide a copy of the proposed audit report to the program within 30 days of the completion of the audit. The program shall have 14 days following receipt of the report to make comments. The Chief DAS may reopen the audit in response to any comments, and shall submit a final audit report, taking into account any comments, to the California Apprenticeship Council within 10 days following the final completion of the audit.

(g) Audit reports shall not include the name, address or social security number or other identifying information about any apprentice and shall not include any medical or other confidential information about any apprentice.

(h) The audit report prepared by the Chief DAS for presentation to the California Apprenticeship Council shall contain recommendations for remedial action to correct deficiencies, if any, and a proposed time schedule for doing so. The Chief DAS shall report at each regular California Apprenticeship Council meeting the status of each audit, including whether or not the deficiencies identified in the audit report have been corrected.

Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3073.1, 3074, 3074.3, 3075, 3078 and 3090, Labor Code.


1. New section filed 9-27-96; operative 10-27-96 (Register 96, No. 39).

2. Amendment of section heading, repealer of subsections (d)-(e), new subsections (d)-(h) and amendment of Note filed 1-17-2002; operative 2-16-2002 (Register 2002, No. 3).

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