Appendix C: Citations from the Workforce Investment Act, the ...

Appendix C: Citations from the Workforce Investment Act, the Carl D. Perkins Vocational and Technical Education Act, the Code of Federal Regulations, and the Federal Register

Citations from the Workforce Investment Act, the Carl Perkins Vocational and Applied Technology Education Act, and the Code of

Federal Regulations

This Appendix provides the specific text from the Workforce Investment Act of 1998, and theCarl D. Perkins Vocational and Applied Technology Education Act of 1998, which containprovisions related to O*NET, and sections of the Code of Federal Regulation which mention theDictionary of Occupational Titles, the predecessor to O*NET. The CFR citations were identifiedthrough electronic search of the Code of Federal Regulation on the Internet site of theGovernment Printing Office (www.access.gpo.gov/nara/cfr). Given the length of the documentsobtained through this search, only the specific pages containing the DOT references are included. The following table, also shown as Exhibit A.4 of the main text of this OMB Clearance request,lists the specific citations, the regulatory entity, and the topic of the regulation.

Title Section Regulatory Entity Topic

20 220 Railroad RetirementBoard

Determining Disability

220.131 Vocational Considerations - Work which exists inthe national economy.

220.132 Vocational Considerations - Physical exertionrequirements

220.134 Vocational Considerations - Medical-vocationalguidelines

220.187

20 404 P Social SecurityAdministration

Determining Disability and Blindness

404.1566 Work which exists in the national economy

404.1567 Physical exertion requirements

404.1569 Listing of Medical-Vocational Guidelines

20 416Part I

Social SecurityAdministration

Supplemental Security Income for Aged, Blind andDisabled

416.966

416.969 Listing of Medical-Vocational Guidelines

20 627.240 Department of Labor Job Training Partnership Act, On-the-job Training


20 651.10 Department of Labor General Provisions Governing the Federal-StateEmployment Service, Definition of terms used inparts 651-658.

20 653.103 Department of Labor Migrant and Seasonal Farm Worker Job Applications

20 655, 656 Department of Labor Temporary Employment of Aliens in the UnitedStates

655.730 Labor Condition Applications and Requirements forEmployers Using Non-immigrants on H-1B Visas inSpecialty Occupations and as Fashion Models

655.940 Attestations by Employers Using F-1 Students in Off-Campus Work

656.21 Labor Certification Process for PermanentEmployment of Aliens in the United States,Applications for labor certification for Schedule Aoccupations

22 42.33 Department of State Visas: Immigrants subject to Numerical Limitations. Diversity immigrants, Determinants of WorkExperience.

28 50.14 Department of Justice Statement of Policy Regarding Equal EmploymentOpportunity, Guidelines on Employee SelectionProcedures

29 553 Department of Labor,Wage and HourDivision

Application of Fair Labor Standards Act toEmployees of State and Local Government

553.30 Determination of exemptions for occasional orsporadic employment

553.103 Determination of “same type of services” forexemption of volunteers

1607.15 Equal EmploymentOpportunityCommission

34 600.2 Department ofEducation, Office ofPost SecondaryEducation

Institutional Eligibility under the Higher EducationAct of 1965 as amended, Definition of “recognizedoccupation” for which institution provides training


38 21.4802 Department ofVeterans’ Affairs

Vocational Education and Rehabilitation, ServiceMembers Occupational Conversion and TrainingProgram, Definition of “related occupation” forpurposes of employment of separating militarypersonnel

41 60-3 Department of Labor,Office of FederalContract CompliancePrograms, EqualEmploymentOpportunity

Uniform Guidelines on Employee SelectionProcedures, to assist employers, labor organizations,employment agencies and licensing and certificationboards to comply with requirements of Federal lawprohibiting employment practices whichdiscriminate...

60-3.15 Documentation of impact and validity evidence

44 325.3 Federal EmergencyManagement Agency

Emergency Health and Medical Occupations, forplanning emergency training and assignment ofpersonnel

112 STAT. 978 PUBLIC LAW 105–220—AUG. 7, 1998

used by the local board for the administrative cost of carry-ing out local workforce investment activities described insubsection (d) or (e) of section 134 or in section 129(c).

(B) USE OF FUNDS.—Funds made available for adminis-trative costs under subparagraph (A) may be used for theadministrative cost of any of the local workforce investmentactivities described in subsection (d) or (e) of section 134or in section 129(c), regardless of whether the funds wereallocated under this subsection or section 133(b).

(C) REGULATIONS.—The Secretary, after consultingwith the Governors, shall develop and issue regulationsthat define the term ‘‘administrative cost’’ for purposesof this title. Such definition shall be consistent with gen-erally accepted accounting principles.

(c) REALLOCATION AMONG LOCAL AREAS.—(1) IN GENERAL.—The Governor may, in accordance with

this subsection, reallocate to eligible local areas within theState amounts that are allocated under paragraph (2)(A) or(3) of subsection (b) for youth activities and that are availablefor reallocation.

(2) AMOUNT.—The amount available for reallocation fora program year is equal to the amount by which the unobligatedbalance of the local area allocation under paragraph (2)(A)or (3) of subsection (b) for such activities, at the end of theprogram year prior to the program year for which the deter-mination under this paragraph is made exceeds 20 percentof such allocation for the prior program year.

(3) REALLOCATION.—In making reallocations to eligible localareas of amounts available pursuant to paragraph (2) for aprogram year, the Governor shall allocate to each eligible localarea within the State an amount based on the relative amountallocated to such local area under subsection (b)(3) for suchactivities for the prior program year, as compared to the totalamount allocated to all eligible local areas in the State undersubsection (b)(3) for such activities for such prior programyear. For purposes of this paragraph, local areas that receivedallocations under subsection (b)(2)(A) for the prior programyear shall be treated as if the local areas received allocationsunder subsection (b)(3) for such year.

(4) ELIGIBILITY.—For purposes of this subsection, aneligible local area means a local area that has obligated atleast 80 percent of the local area allocation under paragraph(2)(A) or (3) of subsection (b) for such activities, for the programyear prior to the program year for which the determinationunder paragraph (2) is made.

SEC. 129. USE OF FUNDS FOR YOUTH ACTIVITIES.

(a) PURPOSES.—The purposes of this section are—(1) to provide, to eligible youth seeking assistance in achiev-

ing academic and employment success, effective and comprehen-sive activities, which shall include a variety of options forimproving educational and skill competencies and provide effec-tive connections to employers;

(2) to ensure on-going mentoring opportunities for eligibleyouth with adults committed to providing such opportunities;

(3) to provide opportunities for training to eligible youth;

29 USC 2854.

112 STAT. 979PUBLIC LAW 105–220—AUG. 7, 1998

(4) to provide continued supportive services for eligibleyouth;

(5) to provide incentives for recognition and achievementto eligible youth; and

(6) to provide opportunities for eligible youth in activitiesrelated to leadership, development, decisionmaking, citizenship,and community service.(b) STATEWIDE YOUTH ACTIVITIES.—

(1) IN GENERAL.—Funds reserved by a Governor for a Stateas described in sections 128(a) and 133(a)(1)—

(A) shall be used to carry out the statewide youthactivities described in paragraph (2); and

(B) may be used to carry out any of the statewideyouth activities described in paragraph (3),

regardless of whether the funds were allotted to the Stateunder section 127(b)(1) or under paragraph (1) or (2) of section132(b).

(2) REQUIRED STATEWIDE YOUTH ACTIVITIES.—A State shalluse funds reserved as described in sections 128(a) and 133(a)(1)(regardless of whether the funds were allotted to the Stateunder section 127(b)(1) or paragraph (1) or (2) of section 132(b))to carry out statewide youth activities, which shall include—

(A) disseminating a list of eligible providers of youthactivities described in section 123;

(B) carrying out activities described in clauses (ii)through (vi) of section 134(a)(2)(B), except that referencesin such clauses to activities authorized under section 134shall be considered to be references to activities authorizedunder this section; and

(C) providing additional assistance to local areas thathave high concentrations of eligible youth to carry outthe activities described in subsection (c).(3) ALLOWABLE STATEWIDE YOUTH ACTIVITIES.—A State may

use funds reserved as described in sections 128(a) and 133(a)(1)(regardless of whether the funds were allotted to the Stateunder section 127(b)(1) or paragraph (1) or (2) of section 132(b))to carry out additional statewide youth activities, which mayinclude—

(A) carrying out activities described in clauses (i), (ii),(iii), (iv)(II), and (vi)(II) of section 134(a)(3)(A), except thatreferences in such clauses to activities authorized undersection 134 shall be considered to be references to activitiesauthorized under this section; and

(B) carrying out, on a statewide basis, activitiesdescribed in subsection (c).(4) PROHIBITION.—No funds described in this subsection

or section 134(a) shall be used to develop or implement edu-cation curricula for school systems in the State.(c) LOCAL ELEMENTS AND REQUIREMENTS.—

(1) PROGRAM DESIGN.—Funds allocated to a local area foreligible youth under paragraph (2)(A) or (3), as appropriate,of section 128(b) shall be used to carry out, for eligible youth,programs that—

(A) provide an objective assessment of the academiclevels, skill levels, and service needs of each participant,which assessment shall include a review of basic skills,occupational skills, prior work experience, employability,


interests, aptitudes (including interests and aptitudes fornontraditional jobs), supportive service needs, and develop-mental needs of such participant, except that a new assess-ment of a participant is not required if the provider carry-ing out such a program determines it is appropriate touse a recent assessment of the participant conducted pursu-ant to another education or training program;

(B) develop service strategies for each participant thatshall identify an employment goal (including, in appro-priate circumstances, nontraditional employment), appro-priate achievement objectives, and appropriate services forthe participant taking into account the assessment con-ducted pursuant to subparagraph (A), except that a newservice strategy for a participant is not required if theprovider carrying out such a program determines it isappropriate to use a recent service strategy developed forthe participant under another education or training pro-gram; and

(C) provide—(i) preparation for postsecondary educational

opportunities, in appropriate cases;(ii) strong linkages between academic and occupa-

tional learning;(iii) preparation for unsubsidized employment

opportunities, in appropriate cases; and(iv) effective connections to intermediaries with

strong links to—(I) the job market; and(II) local and regional employers.

(2) PROGRAM ELEMENTS.—The programs described in para-graph (1) shall provide elements consisting of—

(A) tutoring, study skills training, and instruction,leading to completion of secondary school, including dropoutprevention strategies;

(B) alternative secondary school services, as appro-priate;

(C) summer employment opportunities that are directlylinked to academic and occupational learning;

(D) as appropriate, paid and unpaid work experiences,including internships and job shadowing;

(E) occupational skill training, as appropriate;(F) leadership development opportunities, which may

include community service and peer-centered activitiesencouraging responsibility and other positive social behav-iors during non-school hours, as appropriate;

(G) supportive services;(H) adult mentoring for the period of participation

and a subsequent period, for a total of not less than 12months;

(I) followup services for not less than 12 months afterthe completion of participation, as appropriate; and

(J) comprehensive guidance and counseling, which mayinclude drug and alcohol abuse counseling and referral,as appropriate.(3) ADDITIONAL REQUIREMENTS.—

(A) INFORMATION AND REFERRALS.—Each local boardshall ensure that each participant or applicant who meets

PUBLIC LAW 105-220-AUG. 7,1998 112 STAT. 981the minimum income criteria to be considered an eligible youth shallbe provided

(i) information on the full array of applicable orappropriate services that are available through thelocal board or other eligible providers or one-stop partners, including those receiving funds under this subtitle; and

(ii) referral to appropriate training and educationalprograms that have the capacity to serve the participant orapplicant either on a sequential or concurrent basis.(B) APPLICANTS NOT MEETING ENROLLMENT

REQUIREMENTS.-Each eligible provider of a program of youthactivities shall ensure that an eligible applicant who does not meet theenrollment requirements of the particular program or who cannot beserved shall be referred for further assessment, as necessary, andreferred to appropriate programs in accordance with subparagraph (A)to meet the basic skills and training needs of the applicant.

(C) INVOLVEMENT IN DESIGN ANDIMPLEMENTATION.The local board shall ensure that parents,participants, and other members of the community with experiencerelating to programs for youth are involved in the design andimplementation of the programs described in paragraph (1).(4) PRIORITY.-

(A) IN GENERAL.-At a minimum, 30 percent of the fundsdescribed in paragraph (1) shall be used to provide youth activities toout-of-school youth.

(B) EXCEPTION.-A State that receives a minimum allotmentunder section 127(b)(1) in accordance with section127(b)(1)(C)(iv)(II) or under section 132(b)(1) in accordance withsection 132(b)(1)(B)(iv)(II) may reduce the percentage described insubparagraph (A) for a local area in the State, if

(i) after an analysis of the eligible youth populationin the local area, the State determines that the localarea will be unable to meet the percentage describedin subparagraph (A) due to a low number of out-of-school youth;and

(ii)(I) the State submits to the Secretary, for thelocal area, a request including a proposed reducedpercentage for purposes of subparagraph (A), and thesummary of the eligible youth population analysis; and

(II) the request is approved by the Secretary.(5) EXCEPTIONS.-Not more than 5 percent of participants assisted

under this section in each local area may be individuals who do not meet theminimum income criteria to be considered eligible youth, if such individualsare within one or more of the following categories:

(A) Individuals who are school dropouts.(B) Individuals who are basic skills deficient.(C) Individuals with educational attainment that is one or more

grade levels below the grade level appropriate to the age of theindividuals.

(D) Individuals who are pregnant or parenting.

112 STAT. 982 PUBLIC LAW 105-220-AUG. 7,1998(E) Individuals with disabilities, including learning disabilities.(F) Individuals who are homeless or runaway youth.(G) Individuals who are offenders.(H) Other eligible youth who face serious barriers to

employment as identified by the local board.(6) PROHIBITIONS.-

(A) PROHI13ITION AGAINST FEDERAL CONTROL OFEDUCATION.-No provision of this Act shall be construed toauthorize any department, agency, officer, or employee of theUnited States to exercise any direction, supervision, or control overthe curriculum, program of instruction, administration, or personnelof any educational institution, school, or school system, or over theselection of library resources, textbooks, or other printed orpublished instructional materials by any educational institution,school, or sch

hool system.(B) NONDUPLICATION.-All of the funds made available

under this Act shall be used in accordance with the requirements ofthis Act. None of the funds made available under this Act may beused to provide funding under the Schoolto-Work OpportunitiesAct of 1994 (20 U.S.C. 6101 et seq.) or to carry out, throughprograms funded under this Act, activities that were funded underthe School-to-Work Opportunities Act of 1994, unless theprograms funded under this Act serve only those participantseligible to participate in the programs under this Act.

(C) NONINTERFERENCE AND NONREPLACEMENT OFREGULAR ACADEMIC REQUIREMENTS.-No funds describedin paragraph (1) shall be used to provide an activity for eligibleyouth who are not school dropouts if participation in the activitywould interfere with or replace the regular academic requirementsof the youth.(7) LINKAGES.-In coordinating the programs authorized under

this section, youth councils shall establish linkages with educationalagencies responsible for services to participants as appropriate.

(8) VOLUNTEERS.-The local board shall make opportunitiesavailable for individuals who have successfully participated in programscarried out under this section to volunteer assistance to participants inthe form of mentoring, tutoring, and other activities.CHAPTER 5-ADULT AND DISLOCATED WORKER

EMPLOYMENT AND TRAINING ACTIVITIES29 USC 2861. SEC. 131. GENERAL AUTHORIZATION.

The Secretary shall make allotments under paragraphs (1)(B) and (2)(B)of section 132(b) to each State that meets the requirements of section 112 anda grant to each outlying area that complies with the requirements of this title,to assist the State or outlying area, and to enable the State or outlying area toassist local areas, for the purpose of providing workforce investmentactivities for adults, and dislocated workers, in the State or outlying area andin the local areas.


(B) OTHER FUNDS.—A portion of the funds made avail-able under Federal law authorizing the programs andactivities described in section 121(b)(1)(B), including theWagner-Peyser Act (29 U.S.C. 49 et seq.), shall be usedas described in clauses (i) and (ii) of subparagraph (A),to the extent not inconsistent with the Federal lawinvolved.(2) CORE SERVICES.—Funds described in paragraph (1)(A)

shall be used to provide core services, which shall be availableto individuals who are adults or dislocated workers throughthe one-stop delivery system and shall, at a minimum, include—

(A) determinations of whether the individuals areeligible to receive assistance under this subtitle;

(B) outreach, intake (which may include workerprofiling), and orientation to the information and otherservices available through the one-stop delivery system;

(C) initial assessment of skill levels, aptitudes, abili-ties, and supportive service needs;

(D) job search and placement assistance, and whereappropriate, career counseling;

(E) provision of employment statistics information,including the provision of accurate information relatingto local, regional, and national labor market areas,including—

(i) job vacancy listings in such labor market areas;(ii) information on job skills necessary to obtain

the jobs described in clause (i); and(iii) information relating to local occupations in

demand and the earnings and skill requirements forsuch occupations; and(F) provision of performance information and program

cost information on eligible providers of training servicesas described in section 122, provided by program, andeligible providers of youth activities described in section123, providers of adult education described in title II,providers of postsecondary vocational education activitiesand vocational education activities available to school drop-outs under the Carl D. Perkins Vocational and AppliedTechnology Education Act (20 U.S.C. 2301 et seq.), andproviders of vocational rehabilitation program activitiesdescribed in title I of the Rehabilitation Act of 1973 (29U.S.C. 720 et seq.);

(G) provision of information regarding how the localarea is performing on the local performance measures andany additional performance information with respect tothe one-stop delivery system in the local area;

(H) provision of accurate information relating to theavailability of supportive services, including child care andtransportation, available in the local area, and referralto such services, as appropriate;

(I) provision of information regarding filing claims forunemployment compensation;

(J) assistance in establishing eligibility for—(i) welfare-to-work activities authorized under sec-

tion 403(a)(5) of the Social Security Act (as addedby section 5001 of the Balanced Budget Act of 1997)available in the local area; and


(ii) programs of financial aid assistance for trainingand education programs that are not funded underthis Act and are available in the local area; and(K) followup services, including counseling regarding

the workplace, for participants in workforce investmentactivities authorized under this subtitle who are placedin unsubsidized employment, for not less than 12 monthsafter the first day of the employment, as appropriate.(3) INTENSIVE SERVICES.—

(A) IN GENERAL.—Funds allocated to a local area foradults under paragraph (2)(A) or (3), as appropriate, ofsection 133(b), and funds allocated to the local area fordislocated workers under section 133(b)(2)(B), shall be usedto provide intensive services to adults and dislocated work-ers, respectively—

(i)(I) who are unemployed and are unable to obtainemployment through core services provided underparagraph (2); and

(II) who have been determined by a one-stop opera-tor to be in need of more intensive services in orderto obtain employment; or

(ii) who are employed, but who are determinedby a one-stop operator to be in need of such intensiveservices in order to obtain or retain employment thatallows for self-sufficiency.(B) DELIVERY OF SERVICES.—Such intensive services

shall be provided through the one-stop delivery system—(i) directly through one-stop operators identified

pursuant to section 121(d); or(ii) through contracts with service providers, which

may include contracts with public, private for-profit,and private nonprofit service providers, approved bythe local board.(C) TYPES OF SERVICES.—Such intensive services may

include the following:(i) Comprehensive and specialized assessments of

the skill levels and service needs of adults and dis-located workers, which may include—

(I) diagnostic testing and use of other assess-ment tools; and

(II) in-depth interviewing and evaluation toidentify employment barriers and appropriateemployment goals.(ii) Development of an individual employment plan,

to identify the employment goals, appropriate achieve-ment objectives, and appropriate combination of serv-ices for the participant to achieve the employmentgoals.

(iii) Group counseling.(iv) Individual counseling and career planning.(v) Case management for participants seeking

training services under paragraph (4).(vi) Short-term prevocational services, including

development of learning skills, communication skills,interviewing skills, punctuality, personal maintenanceskills, and professional conduct, to prepare individualsfor unsubsidized employment or training.

112 STAT. 996 PUBLIC LAW 105-220-AUG. 7, 1998(4) TRAINING SERVICES.-

(A) IN GENERAL.-Funds allocated to a local area for adultsunder paragraph (2)(A) or (3), as appropriate, of section 133(b), andfunds allocated to a local area for dislocated workers under section133(b)(2)(B) shall be used to provide training services to adults anddislocated workers, respectively

(i) who have met the eligibility requirements for intensiveservices under paragraph (3)(A) and who are unable to obtain orretain employment through such services;

(ii) who after an interview, evaluation, or assessment, andcase management, have been determined by a one-stop operatoror one-stop partner, as appropriate, to be in need of trainingservices and to have the skills and qualifications to successfullyparticipate in the selected program of training services;

(iii) who select programs of training services that aredirectly linked to the employment opportunities in the local areainvolved or in another area in which the adults or dislocatedworkers receiving such services are willing to relocate;

(iv) who meet the requirements of subparagraph (B); and(v) who are determined to be eligible in accordance with the

priority system, if any, in effect under subparagraph (E).(B) QUALIFICATION -(i)REQUIREMENT.-Except as provided in clause (ii),provision of such training services shall be limited toindividuals who

(I) are unable to obtain other grant assistancefor such services, including Federal Pell Grantsestablished under title IV of the Higher EducationAct of 1965 (20 U.S.C. 1070 et seq.); or

(II) require assistance beyond the assistancemade available under other grant assistance programs, including Federal Pell Grants.(ii) REIMBURSEMENTS.-Training services may be

provided under this paragraph to an individual who otherwisemeets the requirements of this paragraph while an application fora Federal Pell Grant is pending, except that if such individual issubsequently awarded a Federal Pell Grant, appropriatereimbursement shall be made to the local area from such FederalPell Grant.(C) PROVIDER QUALIFICATION.-Training services shall be

provided through providers identified in accordance with section 122.(D) TRAINING SERVICES.-Training services may include

(i) occupational skills training, including training fornontraditional employment;

(ii) on-the-job training;(iii) programs that combine workplace training with related

instruction, which may include cooperative education programs;

PUBLIC LAW 105-220-AUG. 7,1998 112 STAT. 997(iv) training programs operated by the private sector;

(v) skill upgrading and retraining;(vi) entrepreneurial training;(vii) job readiness training;

(viii) adult education and literacy activities provided incombination with services described in any of clauses

(i) through (vii); and(ix) customized training conducted with a commitment

by an employer or group of employers to employ anindividual upon successful completion of the training.

(E) PRIORITY.-In the event that funds allocated to alocal area for adult employment and training activities underparagraph (2)(A) or (3) of section 133(b) are limited,priority shall be given to recipients of public assistance andother low-income individuals for intensive services andtraining services. The appropriate local board and theGovernor shall direct the one-stop operators in the local areawith regard to making determinations related to suchpriority.(F) CONSUMER CHOICE REQUIREMENTS.- (i) IN GENERAL.-Training services provided under thisparagraph shall be provided in a manner that maximizesconsumer choice in the selection of an eligible provider ofsuch services.

(ii) ELIGIBLE PROVIDERS.-Each local board,through one-stop centers referred to in subsection (c), shallmake available(I) the State list of eligible providers of training servicesrequired under section 122(e), with a description of theprograms through which theproviders may offer the training services, and theinformation identifying eligible providers of on-the-jobtraining and customized training requiredunder section 122(h); and(II) the performance information and performance cost information relating to eligible providers oftraining services described in subsections (e) and (h) ofsection 122. (G) USE OF INDIVIDUAL TRAININGACCOUNTS.

(i) IN GENERAL.-Except as provided in clause (ii),training services provided under this paragraph shall beprovided through the use of individual training accounts inaccordance with this paragraph, and shall be provided toeligible individuals through the onestop delivery system.

(ii) EXCEPTIONS.-Training services authorized underthis paragraph may be provided pursuant to a contract forservices in lieu of an individual training account if therequirements of subparagraph (F) are met and if-(I) such services are on-the-job training provided by an employer or customized training;(II) the local board determines there are aninsufficient number of eligible providers of trainingservices in the local area involved (such as in

a rural area) to accomplish the purposes of a system of individualtraining accounts; or (III) the local board determines that there is a trainingservices program of demonstrated effectiveness offered in thelocal area by a community-based organization or another privateorganization to serve special participant populations that facemultiple barriers to employment. (iii) LINKAGE TO OCCUPATIONS IN DEMAND.-Training services provided under this paragraph shall bedirectly linked to occupations that are in demand inthe local area, or in another area to which an adultor dislocated worker receiving such services is willingto relocate, except that a local board may approvetraining services for occupations determined by thelocal board to be in sectors of the economy that havea high potential for sustained demand or growth inthe local area. (iv) DEFINITION.-In this subparagraph, the term"Special participant population that faces multiple barriers toemployment" means a population of low-income individuals thatis included in one or more of the following categories:

(I) Individuals with substantial language or cultural barriers.(II) Offenders.(III) Homeless individuals.

(IV) Other hard-to-serve populations as defined by theGovernor involved.

(e) PERMISSIBLE LOCAL EMPLOYMENT ANDTRAINING ACTIVITIES.

(1) DISCRETIONARY ONE-STOP DELIVERYACTIVITIES.-Funds allocated to a local area for adults underparagraph (2)(A) or (3), as appropriate, of section 133(b), andfunds allocated to the local area for dislocated workers undersection 133(b)(2)(B), may be used to provide, through one-stopdelivery described in subsection (c)(2)

(A) customized screening and referral of qualifiedparticipants in training services described in subsection (d)(4) toemployment; and

(B) customized employment-related services to employers ona fee-for-service basis.

(2) SUPPORTIVE SERVICES.-Funds allocated to a localarea for adults under paragraph (2)(A) or (3), as appropriate, ofsection 133(b), and funds allocated to the local area for dislocatedworkers under section 133(b)(2)(B), may be used to providesupportive services to adults and dislocated workers, respectively

(A) who are participating in programs with activitiesauthorized in any of paragraphs (2), (3), or (4) of subsection (d);and

(B) who are unable to obtain such supportive servicesthrough other programs providing such services.(3) NEEDS-RELATED PAYMENTS.-

(A) IN GENERAL.-Funds allocated to a local area for adultsunder paragraph (2)(A) or (3), as appropriate, of section 133(b),and funds allocated to the local area for


dislocated workers under section 133(b)(2)(B), may be usedto provide needs-related payments to adults and dislocatedworkers, respectively, who are unemployed and do not qual-ify for (or have ceased to qualify for) unemployment com-pensation for the purpose of enabling such individuals toparticipate in programs of training services under sub-section (d)(4).

(B) ADDITIONAL ELIGIBILITY REQUIREMENTS.—In addi-tion to the requirements contained in subparagraph (A),a dislocated worker who has ceased to qualify for unemploy-ment compensation may be eligible to receive needs-relatedpayments under this paragraph only if such worker wasenrolled in the training services—

(i) by the end of the 13th week after the mostrecent layoff that resulted in a determination of theworker’s eligibility for employment and training activi-ties for dislocated workers under this subtitle; or

(ii) if later, by the end of the 8th week after theworker is informed that a short-term layoff will exceed6 months.(C) LEVEL OF PAYMENTS.—The level of a needs-related

payment made to a dislocated worker under this paragraphshall not exceed the greater of—

(i) the applicable level of unemployment compensa-tion; or

(ii) if such worker did not qualify for unemploy-ment compensation, an amount equal to the povertyline, for an equivalent period, which amount shall beadjusted to reflect changes in total family income.

CHAPTER 6—GENERAL PROVISIONS

SEC. 136. PERFORMANCE ACCOUNTABILITY SYSTEM.

(a) PURPOSE.—The purpose of this section is to establish acomprehensive performance accountability system, comprised of theactivities described in this section, to assess the effectiveness ofStates and local areas in achieving continuous improvement ofworkforce investment activities funded under this subtitle, in orderto optimize the return on investment of Federal funds in statewideand local workforce investment activities.

(b) STATE PERFORMANCE MEASURES.—(1) IN GENERAL.—For each State, the State performance

measures shall consist of—(A)(i) the core indicators of performance described in

paragraph (2)(A) and the customer satisfaction indicatorof performance described in paragraph (2)(B); and

(ii) additional indicators of performance (if any) identi-fied by the State under paragraph (2)(C); and

(B) a State adjusted level of performance for eachindicator described in subparagraph (A).(2) INDICATORS OF PERFORMANCE.—

(A) CORE INDICATORS OF PERFORMANCE.—(i) IN GENERAL.—The core indicators of perform-

ance for employment and training activities authorizedunder section 134 (except for self-service and informa-tional activities) and (for participants who are eligible

29 USC 2871.


youth age 19 through 21) for youth activities author-ized under section 129 shall consist of—

(I) entry into unsubsidized employment;(II) retention in unsubsidized employment 6

months after entry into the employment;(III) earnings received in unsubsidized employ-

ment 6 months after entry into the employment;and

(IV) attainment of a recognized credentialrelating to achievement of educational skills, whichmay include attainment of a secondary schooldiploma or its recognized equivalent, or occupa-tional skills, by participants who enter unsub-sidized employment, or by participants who areeligible youth age 19 through 21 who enter post-secondary education, advanced training, or unsub-sidized employment.(ii) CORE INDICATORS FOR ELIGIBLE YOUTH.—The

core indicators of performance (for participants whoare eligible youth age 14 through 18) for youth activi-ties authorized under section 129, shall include—

(I) attainment of basic skills and, as appro-priate, work readiness or occupational skills;

(II) attainment of secondary school diplomasand their recognized equivalents; and

(III) placement and retention in postsecondaryeducation or advanced training, or placement andretention in military service, employment, or quali-fied apprenticeships.

(B) CUSTOMER SATISFACTION INDICATORS.—The cus-tomer satisfaction indicator of performance shall consistof customer satisfaction of employers and participants withservices received from the workforce investment activitiesauthorized under this subtitle. Customer satisfaction maybe measured through surveys conducted after the conclu-sion of participation in the workforce investment activities.

(C) ADDITIONAL INDICATORS.—A State may identify inthe State plan additional indicators for workforce invest-ment activities authorized under this subtitle.(3) LEVELS OF PERFORMANCE.—

(A) STATE ADJUSTED LEVELS OF PERFORMANCE FORCORE INDICATORS AND CUSTOMER SATISFACTION INDICA-TOR.—

(i) IN GENERAL.—For each State submitting a Stateplan, there shall be established, in accordance withthis subparagraph, levels of performance for each ofthe core indicators of performance described in para-graph (2)(A) and the customer satisfaction indicatordescribed in paragraph (2)(B) for workforce investmentactivities authorized under this subtitle. The levelsof performance established under this subparagraphshall, at a minimum—

(I) be expressed in an objective, quantifiable,and measurable form; and

(II) show the progress of the State towardcontinuously improving in performance.

PUBLIC LAW 105-220-AUG. 7,1998 112 STAT. 1001(ii) IDENTIFICATION IN STATE PLAN.-Each State shall

identify, in the State plan submitted under section 112, expectedlevels of performance for each of the core indicators ofperformance and the customer satisfaction indicator ofperformance, for the first 3 program years covered by the Stateplan.

(iii) AGREEMENT ON STATE ADJUSTED LEVELS OFPERFORMANCE FOR FIRST 3 YEARS.-In order to ensure anoptimal return on the investment of Federal funds in workforceinvestment activities authorized under this subtitle, the Secretaryand each Governor shall reach agreement on levels of performancefor each of the core indicators of performance and the customersatisfaction indicator of performance, for the first 3 program yearscovered by the State plan, taking into account the levels identifiedin the State plan under clause (ii) and the factors described inclause (iv). The levels agreed to under this clause shall beconsidered to be the State adjusted levels of performance for theState for such years and shall be incorporated into the State planprior to the approval of such plan. (iv) FACTORS.-The agreementdescribed in clause (iii) or (v) shall take into account

(1) the extent to which the levels involved will assistthe State in attaining a high level of customer satisfaction;

(II) how the levels involved compare with the Stateadjusted levels of performance established for other States,taking into account factors including differences ineconomic conditions, the characteristics of participantswhen the participants entered the program, and the servicesto be provided; and

(III) the extent to which such levels involved promotecontinuous improvement in performance on the performancemeasures by such State and ensure optimal return on theinvestment of Federal funds.

(v) AGREEMENT ON STATE ADJUSTED LEVELS OFPERFORMANCE FOR 4TH AND 5TH YEARS.-Prior to the 4thprogram year covered by the State plan, the Secretary and eachGovernor shall reach agreement on levels of performance for eachof the core indicators of performance and the customer satisfactionindicator of performance, for the 4th and 5th program yearscovered by the State plan, taking into account the factorsdescribed in clause (iv). The levels agreed to under this clauseshall be considered to be the State adjusted levels of performancefor the State for such years and shall be incorporated into the Stateplan. (vi) REVISIONS.-If unanticipated circumstances arise in aState resulting in a significant change in the factors described inclause (iv)(II) the Governor may request that the State adjustedlevels of performance agreed to under clause (iii) or (v) berevised.

112 STAT. 1002 PUBLIC LAW 105-220-AUG. 7,1998The Secretary, after collaboration with the representativesdescribed in subsection (i), shall issue objectivecriteria and methods for making such revisions.(B) LEVELS OF PERFORMANCE FOR ADDITIONAL

INDICATORS.-The State may identify, in the State plan, State levelsof performance for each of the additional indicators described inparagraph (2)(C). Such levels shall be considered to be State adjustedlevels of performance for purposes of this title.

(c) LOCAL PERFORMANCE MEASURES.-(1) IN GENERAL.-For each local area in a State, the local

performance measures shall consist of(A)(i) the core indicators of performance described in subsection

(b)(2)(A), and the customer satisfaction indicator of performancedescribed in subsection (b)(2)(B), for activities described in suchsubsections, other than statewide workforce investment activities; and

(ii) additional indicators of performance (if any) identified by theState under subsection (b)(2)(C) for activities described in suchsubsection, other than statewide workforce investment activities; and

(B) a local level of performance for each indicator described insubparagraph (A).(2) LOCAL LEVEL OF PERFORMANCE.-The local board, the chief

elected official, and the Governor shall negotiate and reach agreement onthe local levels of performance based on the State adjusted levels ofperformance established under subsection (b).

(3) DETERMINATIONS.-In determining such local levels ofperformance, the local board, the chief elected official, and the Governorshall take into account the specific economic, demographic, and othercharacteristics of the populations to be served in the local area.(d) REPORT.-

(1) IN GENERAL.-Each State that receives an allotment under section127 or 132 shall annually prepare and submit to the Secretary a report onthe progress of the State in achieving State performance measures, includinginformation on the levels of performance achieved by the State with respectto the core indicators of performance and the customer satisfactionindicator. The annual report also shall include information regarding theprogress of local areas in the State in achieving local performance measures,including information on the levels of performance achieved by the areaswith respect to the core indicators of performance and the customersatisfaction indicator. The report also shall include information on the statusof State evaluations of workforce investment activities described insubsection (e).

(2) ADDITIONAL INFORMATION.-In preparing such report, theState shall include, at a minimum, information on participants in workforceinvestment activities authorized under this subtitle relating to

(A) entry by participants who have completed training servicesprovided under section 134(d)(4) into unsubsidized employmentrelated to the training received;

(B) wages at entry into employment for participants in workforceinvestment activities who entered

PUBLIC LAW 105-220-AUG. 7,1998 112 STAT. 1003unsubsidized employment, including the rate of wage

replacement for such participants who are dislocated workers; (C) cost of workforce investment activities relative to

the effect of the activities on the performance of participants;

(D) retention and earnings received in unsubsidizedemployment 12 months after entry into the employment;

(E) performance with respect to the indicators ofperformance specified in subsection (b)(2)(A) of participantsin workforce investment activities who received the training

services compared with the performance of participantsin workforce investment activities who received only serv

ices other than the training services (excluding participantswho received only self-service and informational activities);and

(F) performance with respect to the indicators ofperformance specified in subsection (b)(2)(A) of recipientsof public assistance, out-of-school youth, veterans, individ

uals with disabilities, displaced homemakers, and olderindividuals.(3) INFORMATION DISSEMINATION.-The Secretary- Publication. (A) shall make the information contained in suchreports available to the general public through publication

and other appropriate methods; (B) shall disseminate State-by-State comparisons of the information; and

(C) shall provide the appropriate congressional committees with copies of such reports.(e) EVALUATION OF STATE PROGRAMS. (1) IN GENERAL.-Using funds made available under thissubtitle, the State, in coordination with local boards in the

State, shall conduct ongoing evaluation studies of workforceinvestment activities carried out in the State under this subtitlein order to promote, establish, implement, and utilize methodsfor continuously improving the activities in order to achievehigh-level performance within, and high-level outcomes from,the statewide workforce investment system. To the maximumextent practicable, the State shall coordinate the evaluationswith the evaluations provided for by the Secretary under section 172. (2) DESIGN.-The evaluation studies conducted under thissubsection shall be designed in conjunction with the State

board and local boards and shall include analysis of customerfeedback and outcome and process measures in the statewideworkforce investment system. The studies may include useof control groups.

(3) RESULTS.-The State shall periodically prepare and sub- Reports. mit to the State board, and local boards in the State, reportscontaining the results of evaluation studies conducted underthis subsection, to promote the efficiency and effectiveness ofthe statewide workforce investment system in improvingemployability for jobseekers and competitiveness for employers.(f) FISCAL AND MANAGEMENT ACCOUNTABILITY INFORMATIONSYSTEMS.

(1) IN GENERAL.-Using funds made available under this - Guidelines. subtitle, the Governor, in coordination with local boards and

112 STAT. 1004 PUBLIC LAW 105-220-AUG. 7,1998chief elected officials in the State, shall establish and operate a fiscal andmanagement accountability information system based on guidelinesestablished by the Secretary after consultation with the Governors, localelected officials, and one-stop partners. Such guidelines shall promoteefficient collection and use of fiscal and management information forreporting and monitoring the use of funds made available under thissubtitle and for preparing the annual report described in subsection (d).

(2) WAGE RECORDS.-In measuring the progress of the State on Stateand local performance measures, a State shall utilize quarterly wagerecords, consistent with State law. The Secretary shall make arrangements,consistent with State law, to ensure that the wage records of any State areavailable to any other State to the extent that such wage records are requiredby the State in carrying out the State plan of the State or completing theannual report described in subsection (d).(3) CONFIDENTIALITY.-In carrying out the requirements of this Act, the

State shall comply with section 444 of the General Education Provisions Act (20U.S.C. 1232g) (as added by the Family Educational Rights and Privacy Act of1974).

(g) SANCTIONS FOR STATE FAILURE To MEET STATEPERFORMANCE MEASURES.

(1) STATES.-(A) TECHNICAL ASSISTANCE.-If a State fails to meet State

adjusted levels of performance relating to indicators described insubparagraph (A) or (B) of subsection (b)(2) for a program for anyprogram year, the Secretary shall, upon request, provide technicalassistance in accordance with section 170, including assistance in thedevelopment of a performance improvement plan.

(B) REDUCTION IN AMOUNT OF GRANT.-If such failurecontinues for a second consecutive year, or if a State fails to submit areport under subsection (d) for any program year, the Secretary mayreduce by not more than 5 percent, the amount of the grant that would(in the absence of this paragraph) be payable to the State under suchprogram for the immediately succeeding program year. Such penaltyshall be based on the degree of failure to meet State adjusted levels ofperformance.(2) FUNDS RESULTING FROM REDUCED ALLOTMENTS.-The

Secretary shall use an amount retained, as a result of a reduction in anallotment to a State made under paragraph (1)(B), to provide incentivegrants under section 503.(h) SANCTIONS FOR LOCAL AREA FAILURE To MEET LOCAL

PERFORMANCE MEASURES.(1) TECHNICAL ASSISTANCE.-If a local area fails to meet levels of

performance relating to indicators described in subparagraph (A) or (B) ofsubsection (b)(2) for a program for any program year, the Governor, orupon request by the Governor, the Secretary, shall provide technicalassistance, which may include assistance in the development of aperformance improvement plan, or the development of a modified localplan.

(2) CORRECTIVE ACTIONS.

PUBLIC LAW 105-220-AUG. 7,1998 112 STAT. 1005(A) IN GENERAL.-If such failure continues for a secondconsecutive year, the Governor shall take corrective actions,

which may include development of a reorganization planthrough which the Governor may

(i) require the appointment and certification ofa new local board (consistent with the criteria estab

lished under section 117(b));(ii) prohibit the use of eligible providers and one

stop partners identified as achieving a poor level ofperformance; or

(iii) take such other actions as the Governor determines are appropriate.(B) APPEAL BY LOCAL AREA.- Deadlines.

(i) APPEAL TO GOVERNOR.-A local area that issubject to a reorganization plan under subparagraph

(A) may, not later than 30 days after receiving noticeof the reorganization plan, appeal to the Governor

to rescind or revise such plan. In such case, the Governor shall make a final decision not later then 30

days after the receipt of the appeal.(ii) SUBSEQUENT ACTION.-The local area may, not

later than 30 days after receiving a decision from theGovernor pursuant to clause (i), appeal such decision

to the Secretary. In such case, the Secretary shallmake a final decision not later than 30 days after

the receipt of the appeal.(C) EFFECTIVE DATE.-The decision made by the Governor under clause (i) of subparagraph (B) shall become

effective at the time the Governor issues the decision pursuant to such clause. Such decision shall remain effective

unless the Secretary rescinds or revises such plan pursuantto clause (ii) of subparagraph (B).(i) OTHER MEASURES AND TERMINOLOGY.(1) RESPONSIBILITIES.-In order to ensure nationwide comparability of performance data, the Secretary, after collaboration with representatives of appropriate Federal agencies, andrepresentatives of States and political subdivisions, businessand industry, employees, eligible providers of employment andtraining activities, educators, and participants, with expertiseregarding workforce investment policies and workforce investment activities, shall issue

(A) definitions for information required to be reportedunder subsection (d)(2);

(B) terms for a menu of additional indicators ofperformance described in subsection (b)(2)(C) to assist

States in assessing their progress toward State workforceinvestment goals; and

(C) objective criteria and methods described in subsection (b)(3)(A)(vi) for making revisions to levels of

performance.(2) DEFINITIONS FOR CORE INDICATORS.-The Secretary andthe representatives described in paragraph (1) shall participatein the activities described in section 502 concerning the issuanceof definitions for indicators of performance described in subsection (b)(2)(A).

112 STAT. 1006 PUBLIC LAW 105-220-AUG. 7,1998(3) ASSISTANCE.-The Secretary shall make the services of staff

available to the representatives to assist the representatives in participatingin the collaboration described in paragraph (1) and in the activitiesdescribed in section 502.

29 USC 2872. SEC. 137. AUTHORIZATION OF APPROPRIATIONS.(a) YOUTH ACTIVITIES.-There are authorized to be appropriated to

carry out the activities described in section 127(a), such sums as may benecessary for each of fiscal years 1999 through 2003. (b) ADULTEMPLOYMENT AND TRAINING ACTIVITIES.-There are authorized to beappropriated to carry out the activities described in section 132(a)(1), such sumsas may be necessary for each of fiscal years 1999 through 2003.

(c) DISLOCATED WORKER EMPLOYMENT AND TRAININGACTIVITIES.-There are authorized to be appropriated to carry out the activitiesdescribed in section 132(a)(2), such sums as may be necessary for each of fiscalyears 1999 through 2003.

Subtitle C---Job Corps29 USC 2881. SEC. 141. PURPOSES.

The purposes of this subtitle are-(1) to maintain a national Job Corps program, carried out in

partnership with States and communities, to assist eligible youth who needand can benefit from an intensiveprogram, operated in a group setting in residential and nonresidentialcenters, to become more responsible, employable, and productive citizens;

1 (2) to set forth standards and procedures for selecting individuals asenrollees in the Job Corps;

(3) to authorize the establishment of Job Corps centers in whichenrollees will participate in intensive programs of activities described in thissubtitle; and

(4) to prescribe various other powers, duties, and responsibilitiesincident to the operation and continuing development of the Job Corps.

29 USC 2882. SEC. 142. DEFINITIONS.In this subtitle:

(1) APPLICABLE LOCAL BOARD.-The term "applicable localboard" means a local board

(A) that provides information for a Job Corps centeron local employment opportunities and the job skills neededto obtain the opportunities; and

(B) that serves communities in which the graduatesof the Job Corps center seek employment.(2) APPLICABLE ONE-STOP CENTER.-The term "applicable

one-stop center" means a one-stop customer service center that providesservices, such as referral, intake, recruitment, and placement, to a Job Corpscenter.

(3) ENROLLEE.-The term "enrollee" means an individual who hasvoluntarily applied for, been selected for, and enrolled in the Job Corpsprogram, and remains with the program, but has not yet become a graduate.

(4) FORMER ENROLLEE.-The term "former enrollee" means anindividual who has voluntarily applied for, been selected for, and enrolledin the Job Corps program, but left the program


SEC. 154. INDUSTRY COUNCILS.

(a) IN GENERAL.—Each Job Corps center shall have an industrycouncil, appointed by the director of the center after consultationwith the Liaison, in accordance with procedures established bythe Secretary.

(b) INDUSTRY COUNCIL COMPOSITION.—(1) IN GENERAL.—An industry council shall be comprised

of—(A) a majority of members who shall be local and

distant owners of business concerns, chief executives orchief operating officers of nongovernmental employers, orother private sector employers, who—

(i) have substantial management, hiring, or policyresponsibility; and

(ii) represent businesses with employmentopportunities that reflect the employment opportuni-ties of the applicable local area;(B) representatives of labor organizations (where

present) and representatives of employees; and(C) enrollees and graduates of the Job Corps.

(2) LOCAL BOARD.—The industry council may include mem-bers of the applicable local boards who meet the requirementsdescribed in paragraph (1).(c) RESPONSIBILITIES.—The responsibilities of the industry

council shall be—(1) to work closely with all applicable local boards in order

to determine, and recommend to the Secretary, appropriatevocational training for the center;

(2) to review all the relevant labor market informationto—

(A) determine the employment opportunities in thelocal areas in which the enrollees intend to seek employ-ment after graduation;

(B) determine the skills and education that are nec-essary to obtain the employment opportunities; and

(C) recommend to the Secretary the type of vocationaltraining that should be implemented at the center to enablethe enrollees to obtain the employment opportunities; and(3) to meet at least once every 6 months to reevaluate

the labor market information, and other relevant information,to determine, and recommend to the Secretary, any necessarychanges in the vocational training provided at the center.(d) NEW CENTERS.—The industry council for a Job Corps center

that is not yet operating shall carry out the responsibilitiesdescribed in subsection (c) at least 3 months prior to the dateon which the center accepts the first enrollee at the center.

SEC. 155. ADVISORY COMMITTEES.

The Secretary may establish and use advisory committees inconnection with the operation of the Job Corps program, and theoperation of Job Corps centers, whenever the Secretary determinesthat the availability of outside advice and counsel on a regularbasis would be of substantial benefit in identifying and overcomingproblems, in planning program or center development, or instrengthening relationships between the Job Corps and agencies,institutions, or groups engaged in related activities.

29 USC 2895.

29 USC 2894.


(5) by redesignating subsection (e) as subsection (d); and(6) in subsection (d) (as redesignated in paragraph (5)),

by striking ‘‘such plans’’ and inserting ‘‘such detailed plans’’.

SEC. 307. REPEAL OF FEDERAL ADVISORY COUNCIL.

Section 11 of the Wagner-Peyser Act (29 U.S.C. 49j) isamended—

(1) by striking ‘‘11.’’ and all that follows through ‘‘(b) In’’and inserting ‘‘11. In’’; and

(2) by striking ‘‘Director’’ and inserting ‘‘Secretary’’.

SEC. 308. REGULATIONS.

Section 12 of the Wagner-Peyser Act (29 U.S.C. 49k) is amendedby striking ‘‘The Director, with the approval of the Secretary ofLabor,’’ and inserting ‘‘The Secretary’’.

SEC. 309. EMPLOYMENT STATISTICS.

The Wagner-Peyser Act is amended—(1) by redesignating section 15 (29 U.S.C. 49 note) as

section 16; and(2) by inserting after section 14 (29 U.S.C. 49l–1) the

following:

‘‘SEC. 15. EMPLOYMENT STATISTICS.

‘‘(a) SYSTEM CONTENT.—‘‘(1) IN GENERAL.—The Secretary, in accordance with the

provisions of this section, shall oversee the development,maintenance, and continuous improvement of a nationwideemployment statistics system of employment statistics thatincludes—

‘‘(A) statistical data from cooperative statistical surveyand projection programs and data from administrativereporting systems that, taken together, enumerate, esti-mate, and project employment opportunities and conditionsat national, State, and local levels in a timely manner,including statistics on—

‘‘(i) employment and unemployment status ofnational, State, and local populations, including self-employed, part-time, and seasonal workers;

‘‘(ii) industrial distribution of occupations, as wellas current and projected employment opportunities,wages, benefits (where data is available), and skilltrends by occupation and industry, with particularattention paid to State and local conditions;

‘‘(iii) the incidence of, industrial and geographicallocation of, and number of workers displaced by,permanent layoffs and plant closings; and

‘‘(iv) employment and earnings information main-tained in a longitudinal manner to be used for researchand program evaluation;‘‘(B) information on State and local employment

opportunities, and other appropriate statistical data relatedto labor market dynamics, which—

‘‘(i) shall be current and comprehensive;‘‘(ii) shall meet the needs identified through the

consultations described in subparagraphs (A) and (B)of subsection (e)(2); and

29 USC 49l–2.


‘‘(iii) shall meet the needs for the informationidentified in section 134(d);‘‘(C) technical standards (which the Secretary shall

publish annually) for data and information described insubparagraphs (A) and (B) that, at a minimum, meet thecriteria of chapter 35 of title 44, United States Code;

‘‘(D) procedures to ensure compatibility and additivityof the data and information described in subparagraphs(A) and (B) from national, State, and local levels;

‘‘(E) procedures to support standardization andaggregation of data from administrative reporting systemsdescribed in subparagraph (A) of employment-related pro-grams;

‘‘(F) analysis of data and information described in sub-paragraphs (A) and (B) for uses such as—

‘‘(i) national, State, and local policymaking;‘‘(ii) implementation of Federal policies (including

allocation formulas);‘‘(iii) program planning and evaluation; and‘‘(iv) researching labor market dynamics;

‘‘(G) wide dissemination of such data, information, andanalysis in a user-friendly manner and voluntary technicalstandards for dissemination mechanisms; and

‘‘(H) programs of—‘‘(i) training for effective data dissemination;‘‘(ii) research and demonstration; and‘‘(iii) programs and technical assistance.

‘‘(2) INFORMATION TO BE CONFIDENTIAL.—‘‘(A) IN GENERAL.—No officer or employee of the Federal

Government or agent of the Federal Government may—‘‘(i) use any submission that is furnished for exclu-

sively statistical purposes under the provisions of thissection for any purpose other than the statistical pur-poses of this section for which the submission is fur-nished;

‘‘(ii) make any publication or media transmittalof the data contained in the submission described inclause (i) that permits information concerning individ-ual subjects to be reasonably inferred by either director indirect means; or

‘‘(iii) permit anyone other than a sworn officer,employee, or agent of any Federal department oragency, or a contractor (including an employee of acontractor) of such department or agency, to examinean individual submission described in clause (i);

without the consent of the individual, agency, or otherperson who is the subject of the submission or providesthat submission.

‘‘(B) IMMUNITY FROM LEGAL PROCESS.—Any submission(including any data derived from the submission) that iscollected and retained by a Federal department or agency,or an officer, employee, agent, or contractor of such adepartment or agency, for exclusively statistical purposesunder this section shall be immune from the legal processand shall not, without the consent of the individual, agency,or other person who is the subject of the submission orprovides that submission, be admitted as evidence or used


for any purpose in any action, suit, or other judicial oradministrative proceeding.

‘‘(C) RULE OF CONSTRUCTION.—Nothing in this sectionshall be construed to provide immunity from the legalprocess for such submission (including any data derivedfrom the submission) if the submission is in the possessionof any person, agency, or entity other than the FederalGovernment or an officer, employee, agent, or contractorof the Federal Government, or if the submission isindependently collected, retained, or produced for purposesother than the purposes of this Act.

‘‘(b) SYSTEM RESPONSIBILITIES.—‘‘(1) IN GENERAL.—The employment statistics system

described in subsection (a) shall be planned, administered, over-seen, and evaluated through a cooperative governance structureinvolving the Federal Government and States.

‘‘(2) DUTIES.—The Secretary, with respect to data collection,analysis, and dissemination of labor employment statistics forthe system, shall carry out the following duties:

‘‘(A) Assign responsibilities within the Department ofLabor for elements of the employment statistics systemdescribed in subsection (a) to ensure that all statisticaland administrative data collected is consistent with appro-priate Bureau of Labor Statistics standards and definitions.

‘‘(B) Actively seek the cooperation of other Federalagencies to establish and maintain mechanisms for ensur-ing complementarity and nonduplication in the develop-ment and operation of statistical and administrative datacollection activities.

‘‘(C) Eliminate gaps and duplication in statisticalundertakings, with the systemization of wage surveys asan early priority.

‘‘(D) In collaboration with the Bureau of Labor Statis-tics and States, develop and maintain the elements ofthe employment statistics system described in subsection(a), including the development of consistent procedures anddefinitions for use by the States in collecting the dataand information described in subparagraphs (A) and (B)of subsection (a)(1).

‘‘(E) Establish procedures for the system to ensurethat—

‘‘(i) such data and information are timely;‘‘(ii) paperwork and reporting for the system are

reduced to a minimum; and‘‘(iii) States and localities are fully involved in

the development and continuous improvement of thesystem at all levels, including ensuring the provision,to such States and localities, of budget informationnecessary for carrying out their responsibilities undersubsection (e).

‘‘(c) ANNUAL PLAN.—The Secretary, working through theBureau of Labor Statistics, and in cooperation with the States,and with the assistance of other appropriate Federal agencies,shall prepare an annual plan which shall be the mechanism forachieving cooperative management of the nationwide employmentstatistics system described in subsection (a) and the statewide

Procedures.


employment statistics systems that comprise the nationwide system.The plan shall—

‘‘(1) describe the steps the Secretary has taken in thepreceding year and will take in the following 5 years to carryout the duties described in subsection (b)(2);

‘‘(2) include a report on the results of an annual consumersatisfaction review concerning the performance of the system,including the performance of the system in addressing theneeds of Congress, States, localities, employers, jobseekers, andother consumers;

‘‘(3) evaluate the performance of the system and recommendneeded improvements, taking into consideration the resultsof the consumer satisfaction review, with particular attentionto the improvements needed at the State and local levels;

‘‘(4) justify the budget request for annual appropriationsby describing priorities for the fiscal year succeeding the fiscalyear in which the plan is developed and priorities for the5 subsequent fiscal years for the system;

‘‘(5) describe current (as of the date of the submissionof the plan) spending and spending needs to carry out activitiesunder this section, including the costs to States and localitiesof meeting the requirements of subsection (e)(2); and

‘‘(6) describe the involvement of States in the developmentof the plan, through formal consultations conducted by theSecretary in cooperation with representatives of the Governorsof every State, and with representatives of local workforceinvestment boards, pursuant to a process established by theSecretary in cooperation with the States.‘‘(d) COORDINATION WITH THE STATES.—The Secretary, working

through the Bureau of Labor Statistics, and in cooperation withthe States, shall—

‘‘(1) develop the annual plan described in subsection (c)and address other employment statistics issues by holding for-mal consultations, at least once each quarter (beginning withthe calendar quarter in which the Workforce Investment Actof 1998 is enacted) on the products and administration of thenationwide employment statistics system; and

‘‘(2) hold the consultations with representatives from eachof the 10 Federal regions of the Department of Labor, elected(pursuant to a process established by the Secretary) by andfrom the State employment statistics directors affiliated withthe State agencies that perform the duties described in sub-section (e)(2).‘‘(e) STATE RESPONSIBILITIES.—

‘‘(1) DESIGNATION OF STATE AGENCY.—In order to receiveFederal financial assistance under this section, the Governorof a State shall—

‘‘(A) designate a single State agency to be responsiblefor the management of the portions of the employmentstatistics system described in subsection (a) that comprisea statewide employment statistics system and for theState’s participation in the development of the annual plan;and

‘‘(B) establish a process for the oversight of such sys-tem.‘‘(2) DUTIES.—In order to receive Federal financial assist-

ance under this section, the State agency shall—

Reports.


‘‘(A) consult with State and local employers, partici-pants, and local workforce investment boards about thelabor market relevance of the data to be collected anddisseminated through the statewide employment statisticssystem;

‘‘(B) consult with State educational agencies and localeducational agencies concerning the provision of employ-ment statistics in order to meet the needs of secondaryschool and postsecondary school students who seek suchinformation;

‘‘(C) collect and disseminate for the system, on behalfof the State and localities in the State, the informationand data described in subparagraphs (A) and (B) of sub-section (a)(1);

‘‘(D) maintain and continuously improve the statewideemployment statistics system in accordance with this sec-tion;

‘‘(E) perform contract and grant responsibilities fordata collection, analysis, and dissemination for such sys-tem;

‘‘(F) conduct such other data collection, analysis, anddissemination activities as will ensure an effective state-wide employment statistics system;

‘‘(G) actively seek the participation of other State andlocal agencies in data collection, analysis, and dissemina-tion activities in order to ensure complementary, compat-ibility, and usefulness of data;

‘‘(H) participate in the development of the annual plandescribed in subsection (c); and

‘‘(I) utilize the quarterly records described in section136(f )(2) of the Workforce Investment Act of 1998 to assistthe State and other States in measuring State progresson State performance measures.‘‘(3) RULE OF CONSTRUCTION.—Nothing in this section shall

be construed as limiting the ability of a State agency to conductadditional data collection, analysis, and dissemination activitieswith State funds or with Federal funds from sources otherthan this section.‘‘(f ) NONDUPLICATION REQUIREMENT.—None of the functions

and activities carried out pursuant to this section shall duplicatethe functions and activities carried out under the Carl D. PerkinsVocational and Applied Technology Education Act (20 U.S.C. 2301et seq.).

‘‘(g) AUTHORIZATION OF APPROPRIATIONS.—There are authorizedto be appropriated to carry out this section such sums as maybe necessary for each of the fiscal years 1999 through 2004.

‘‘(h) DEFINITION.—In this section, the term ‘local area’ meansthe smallest geographical area for which data can be producedwith statistical reliability.’’.SEC. 310. TECHNICAL AMENDMENTS.

Sections 3(b), 6(b)(1), and 7(d) of the Wagner-Peyser Act (29U.S.C. 49b(b), 49e(b)(1), and 49f(d)) are amended by striking ‘‘Sec-retary of Labor’’ and inserting ‘‘Secretary’’.SEC. 311. EFFECTIVE DATE.

The amendments made by this subtitle shall take effect onJuly 1, 1999.

29 USC 49a note.

The Workforce Investment ActPUBLIC LAW 105–220—AUG. 7, 1998

‘‘SEC. 508. ELECTRONIC AND INFORMATION TECHNOLOGY.‘‘(a) REQUIREMENTS FOR FEDERAL DEPARTMENTS ANDAGENCIES.—‘‘(1) ACCESSIBILITY.—‘‘(A) DEVELOPMENT , PROCUREMENT , MAINTENANCE, ORUSE OF ELECTRONIC AND INFORMATION TECHNOLOGY.—Whendeveloping, procuring, maintaining, or using electronic andinformation technology, each Federal department oragency, including the United States Postal Service, shallensure, unless an undue burden would be imposed on thedepartment or agency, that the electronic and informationtechnology allows, regardless of the type of medium ofthe technology—‘‘(i) individuals with disabilities who are Federalemployees to have access to and use of informationand data that is comparable to the access to and useof the information and data by Federal employees whoare not individuals with disabilities; and‘‘(ii) individuals with disabilities who are membersof the public seeking information or services from aFederal department or agency to have access to anduse of information and data that is comparable tothe access to and use of the information and databy such members of the public who are not individualswith disabilities.‘‘(B) ALTERNATIVE MEANS EFFORTS.—When development,procurement, maintenance, or use of electronic andinformation technology that meets the standards publishedby the Access Board under paragraph (2) would imposean undue burden, the Federal department or agency shallprovide individuals with disabilities covered by paragraph(1) with the information and data involved by an alter-nativemeans of access that allows the individual to usethe information and data.‘‘(2) ELECTRONIC AND INFORMATION TECHNOLOGY STAND-ARDS.—‘‘(A) IN GENERAL.—Not later than 18 months after thedate of enactment of the Rehabilitation Act Amendmentsof 1998, the Architectural and Transportation BarriersCompliance Board (referred to in this section as the ‘AccessBoard’), after consultation with the Secretary of Education,the Administrator of General Services, the Secretary ofCommerce, the Chairman of the Federal CommunicationsCommission, the Secretary of Defense, and the head ofany other Federal department or agency that the AccessBoard determines to be appropriate, including consultationon relevant research findings, and after consultation withthe electronic and information technology industry andappropriate public or nonprofit agencies or organizations,including organizations representing individuals with

disabilities, shall issue and publish standards settingforth—‘‘(i) for purposes of this section, a definition ofelectronic and information technology that is consistentwith the definition of information technology specifiedin section 5002(3) of the Clinger-Cohen Act of 1996(40 U.S.C. 1401(3)); and‘‘(ii) the technical and functional performance criterianecessary to implement the requirements setforth in paragraph (1).‘‘(B) REVIEW AND AMENDMENT.—The Access Board shallperiodically review and, as appropriate, amend the standardsrequired under subparagraph (A) to reflect technologicaladvances or changes in electronic and informationtechnology.‘‘(3) INCORPORATION OF STANDARDS .—Not later than 6months after the Access Board publishes the standards requiredunder paragraph (2), the Federal Acquisition Regulatory Councilshall revise the Federal Acquisition Regulation and eachFederal department or agency shall revise the Federal procurementpolicies and directives under the control of the departmentor agency to incorporate those standards. Not later than 6months after the Access Board revises any standards requiredunder paragraph (2), the Council shall revise the FederalAcquisition Regulation and each appropriate Federal departmentor agency shall revise the procurement policies and directives,as necessary, to incorporate the revisions.‘‘(4) ACQUISITION PLANNING.—In the event that a Federaldepartment or agency determines that compliance with thestandards issued by the Access Board under paragraph (2)relating to procurement imposes an undue burden, the documentationby the department or agency supporting the procurementshall explain why compliance creates an undue burden.‘‘(5) EXEMPTION FOR NATIONAL SECURITY SYSTEMS.—Thissection shall not apply to national security systems, as thatterm is defined in section 5142 of the Clinger-Cohen Act of1996 (40 U.S.C. 1452).‘‘(6) CONSTRUCTION.—‘‘(A) EQUIPMENT .—In a case in which the FederalGovernment provides access to the public to informationor data through electronic and information technology,nothing in this section shall be construed to require aFederal department or agency—‘‘(i) to make equipment owned by the FederalGovernment available for access and use by individualswith disabilities covered by paragraph (1) at a locationother than that where the electronic and informationtechnology is provided to the public; or‘‘(ii) to purchase equipment for access and useby individuals with disabilities covered by paragraph(1) at a location other than that where the electronicand information technology is provided to the public.‘‘(B) SOFTWARE AND PERIPHERAL DEVICES.—Except asrequired to comply with standards issued by the AccessBoard under paragraph (2), nothing in paragraph (1)requires the installation of specific accessibility-related software

or the attachment of a specific accessibility-relatedperipheral device at a workstation of a Federal employeewho is not an individual with a disability.‘‘(b) TECHNICAL ASSISTANCE.—The Administrator of GeneralServices and the Access Board shall provide technical assistanceto individuals and Federal departments and agencies concerningthe requirements of this section.‘‘(c) AGENCY EVALUATIONS.—Not later than 6 months after thedate of enactment of the Rehabilitation Act Amendments of 1998,the head of each Federal department or agency shall evaluatethe extent to which the electronic and information technology ofthe department or agency is accessible to and usable by individualswith disabilities described in subsection (a)(1), compared to theaccess to and use of the technology by individuals described insuch subsection who are not individuals with disabilities, and submita report containing the evaluation to the Attorney General.‘‘(d) REPORTS.—‘‘(1) INTERIM REPORT .—Not later than 18 months after thedate of enactment of the Rehabilitation Act Amendments of1998, the Attorney General shall prepare and submit to thePresident a report containing information on and recommendationsregarding the extent to which the electronic and informationtechnology of the Federal Government is accessible toand usable by individuals with disabilities described in sub-section(a)(1).‘‘(2) BIENNIAL REPORTS.—Not later than 3 years after thedate of enactment of the Rehabilitation Act Amendments of1998, and every 2 years thereafter, the Attorney General shallprepare and submit to the President and Congress a reportcontaining information on and recommendations regarding thestate of Federal department and agency compliance with therequirements of this section, including actions regardingindividual complaints under subsection (f ).‘‘(e) COOPERATION.—Each head of a Federal department oragency (including the Access Board, the Equal Employment OpportunityCommission, and the General Services Administration) shallprovide to the Attorney General such information as the AttorneyGeneral determines is necessary to conduct the evaluations undersubsection (c) and prepare the reports under subsection (d).‘‘(f ) ENFORCEMENT .—‘‘(1) GENERAL.—‘‘(A) COMPLAINTS.—Effective 2 years after the date ofenactment of the Rehabilitation Act Amendments of 1998,any individual with a disability may file a complaint allegingthat a Federal department or agency fails to complywith subsection (a)(1) in providing electronic and informationtechnology.‘‘(B) APPLICATION.—This subsection shall apply onlyto electronic and information technology that is procuredby a Federal department or agency not less than 2 yearsafter the date of enactment of the Rehabilitation ActAmendments of 1998.‘‘(2) ADMINISTRATIVE COMPLAINTS .—Complaints filed underparagraph (1) shall be filed with the Federal department oragency alleged to be in noncompliance. The Federal departmentor agency receiving the complaint shall apply the complaint

procedures established to implement section 504 for resolvingallegations of discrimination in a federally conducted programor activity.‘‘(3) CIVIL ACTIONS.—The remedies, procedures, and rightsset forth in sections 505(a)(2) and 505(b) shall be the remedies,procedures, and rights available to any individual with adisability filing a complaint under paragraph (1).‘‘(g) APPLICATION TO OTHER FEDERAL LAWS.—This section shallnot be construed to limit any right, remedy, or procedure otherwiseavailable under any provision of Federal law (including sections501 through 505) that provides greater or equal protection forthe rights of individuals with disabilities than this section.’’.(c) PROTECTION AND ADVOCACY OF INDIVIDUAL RIGHTS.—Section509 (29 U.S.C. 794e) is amended to read as follows: (see Section 509).

Carl D. Perkins Vocational and Applied Technology Education Act‘‘SEC. 118. OCCUPATIONAL AND EMPLOYMENT INFORMATION.‘‘(a) NATIONAL ACTIVITIES.—From funds appropriated undersubsection (f ), the Secretary, in consultation with appropriate Federalagencies, is authorized—‘‘(1) to provide assistance to an entity to enable the entity—‘‘(A) to provide technical assistance to State entitiesdesignated under subsection (b) to enable the State entitiesto carry out the activities described in subsection (b);‘‘(B) to disseminate information that promotes the replicationof high quality practices described in subsection (b);‘‘(C) to develop and disseminate products and servicesrelated to the activities described in subsection (b); and‘‘(2) to award grants to States that designate State entitiesin accordance with subsection (b) to enable the State entitiesto carry out the State level activities described in subsection (b).‘‘(b) STATE LEVEL ACTIVITIES.—In order for a State to receivea grant under this section, the eligible agency and the Governorof the State shall jointly designate an entity in the State—‘‘(1) to provide support for a career guidance and academiccounseling program designed to promote improved career andeducation decision making by individuals (especially in areasof career information delivery and use);‘‘(2) to make available to students, parents, teachers,administrators, and counselors, and to improve accessibilitywith respect to, information and planning resources that relateeducational preparation to career goals and expectations;‘‘(3) to equip teachers, administrators, and counselors withthe knowledge and skills needed to assist students and parentswith career exploration, educational opportunities, and educationfinancing.‘‘(4) to assist appropriate State entities in tailoring career-relatededucational resources and training for use by such entities;‘‘(5) to improve coordination and communication amongadministrators and planners of programs authorized by thisAct and by section 15 of the Wagner-Peyser Act at the Federal,State, and local levels to ensure nonduplication of efforts andthe appropriate use of shared information and data; and‘‘(6) to provide ongoing means for customers, such as studentsand parents, to provide comments and feedback on productsand services and to update resources, as appropriate, tobetter meet customer requirements.‘‘(c) NONDUPLICATION.—‘‘(1) WAGNER-PEYSER ACT.—The State entity designatedunder subsection (b) may use funds provided under subsection(b) to supplement activities under section 15 of the Wagner-PeyserAct to the extent such activities do not duplicate activitiesassisted under such section.‘‘(2) PUBLIC LAW 105–220.—None of the functions and activitiesassisted under this section shall duplicate the functionsand activities carried out under Public Law 105–220.‘‘(d) FUNDING RULE.—Of the amounts appropriated to carryout this section, the Federal entity designated under subsection

(a) shall use—‘‘(1) not less than 85 percent to carry out subsection (b);and‘‘(2) not more than 15 percent to carry out subsection(a).‘‘(e) REPORT.—The Secretary, in consultation with appropriateFederal agencies, shall prepare and submit to the appropriatecommittees of Congress, an annual report that includes—‘‘(1) an identification of activities assisted under this sectionduring the prior program year;‘‘(2) a description of the specific products and servicesassisted under this section that were delivered in the priorprogram year; and‘‘(3) an assessment of the extent to which States haveeffectively coordinated activities assisted under this sectionwith activities authorized under section 15 of the Wagner-PeyserAct.‘‘(f ) AUTHORIZATION OF APPROPRIATIONS.—There are authorizedto be appropriated to carry out this section such sums as maybe necessary for each of the fiscal years 1999 through 2003.

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Railroad Retirement Board § 220.131

these work skills unless he or she can-not use them in other skilled or semi-skilled work that he or she can do. Ifthe claimant cannot use his or herskills in other skilled or semi-skilledwork, the Board will consider his orher work background the same as un-skilled. However, even if the claimanthas no work experience, the Board mayconsider that the claimant is able to dounskilled work because it requires lit-tle or no judgment and can be learnedin a short period of time.

(b) Information about the claimant’swork. (1) Sometimes the Board willneed information about the claimant’spast work to make a disability deter-mination. The Board may request workinformation from—

(i) The claimant; and(ii) The claimant’s employer or other

person who knows about the claimant’swork (member of family or co-worker)with the claimant’s permission.

(2) The Board will ask for the follow-ing information about all the jobs theclaimant has had in the last 15 years:

(i) The dates the claimant worked.(ii) All the duites the claimant did.(iii) Any tools, machinery, and equip-

ment the claimant used.(iv) The amount of walking, stand-

ing, sitting, lifting and carrying theclaimant did during the work day, aswell as any other physical and mentalduties of the job.

(3) If all the claimant’s work in thepast 15 years has been arduous and un-skilled, and the claimant has very lit-tle education, the Board will ask theclaimant to tell about all of his or herwork from the time he or she firstbegan working. (See § 220.45(b).)

§ 220.131 Work which exists in the na-tional economy.

(a) General. The Board considers thatwork exists in the national economywhen it exists in significant numberseither in the region where the claimantlives or in several other regions of thecountry. It does not matter whether—

(1) Work exits in the immediate areain which the claimant lives,

(2) A specific job vacancy exists forthe claimant; or

(3) The claimant would be hired if theclaimant applied for work.

(b) How the Board determines the exist-ence of work. Work exists in the na-tional economy when there are a sig-nificant number of jobs (in one or moreoccupations) having requirementswhich the claimant is able to meetwith his or her physical or mental abil-ity and vocational qualifications. Iso-lated jobs that exist in very limitednumbers in relatively few locationsoutside the region where the claimantlives are not considered ‘‘work whichexists in the national economy.’’ TheBoard will not deny the claimant a dis-ability annuity on the basis of the ex-istence of these kinds of jobs. TheBoard will determine that the claimantis disabled if the work he or she can dodoes not exist in the national economy.If the work the claimant can do doesexist in the national economy, theBoard will determine that the claimantis not disabled.

(c) Inability to obtain work. The Boardwill determine that the claimant is notdisabled if he or she has the residualfunctional capacity and vocationalabilities to do work which exists in thenational economy but the claimant re-mains unemployed because of—

(1) His or her inability to get work;(2) Lack of work in his or her local

area;(3) The hiring practices of employers;(4) Technological changes in the in-

dustry in which the claimant hasworked;

(5) Cyclical economic conditions;(6) No job openings for the claimant;(7) The claimant not actually being

hired to do work he or she could other-wise do; or

(8) The claimant not wishing to do aparticular type of work.

(d) Administrative notice of job data.The following sources are used whenthe Board determines that unskilled,sedentary, light and medium jobs existin the national economy:

(1) Dictionary of Occupational Titles,published by the Department of Labor.

(2) County Business Patterns, pub-lished by the Bureau of the Census.

(3) Census Reports, also published bythe Bureau of the Census.

(4) Occupational Analyses, preparedfor the Social Security Administrationby various State employment agencies.

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20 CFR Ch. II (4–1–97 Edition)§ 220.132

(5) Occupational Outlook Handbook,published by the Bureau of Labor Sta-tistics.

(e) Use of vocational experts and otherspecialists. If the issue in determiningwhether the claimant is disabled iswhether his or her work skills can beused in other work and the specific oc-cupations in which they can be used, orthere is a similarly complex issue, theBoard may use the services of a voca-tional expert or other specialist. TheBoard will decide whether to use a vo-cational expert or other specialist.

§ 220.132 Physical exertion require-ments.

To determine the physical exertionrequirements of work in the nationaleconomy, jobs are classified as ‘‘sed-entary’’, ‘‘light’’, ‘‘medium’’, ‘‘heavy’’,and ‘‘very heavy.’’ These terms havethe same meaning as they have in theDictionary of Occupational Titles, pub-lished by the Department of Labor. Inmaking disability determinations theBoard uses the following definitions:

(a) Sedentary work. Sedentary workinvolves lifting no more than 10 poundsat a time and occasionally lifting orcarrying articles like docket files,ledgers, and small tools. Although asedentary job is defined as one whichinvolves sitting, a certain amount ofwalking and standing is often nec-essary in carrying out job duties. Jobsare sedentary if walking and standingare required occasionally and the othersedentary criteria are met.

(b) Light work. Light work involveslifting no more than 20 pounds at atime with frequent lifting or carryingof objects weighing up to 10 pounds.Even though the weight lifted may bevery little, a job is in this categorywhen it requires a good deal of walkingor standing, or when it involves sittingmost of the time with some pushingand pulling of arm or leg controls. Tobe considered capable of performing afull or wide range of light work, theclaimant must have the ability to dosubstantially all of these activities. Ifthe claimant can do light work, theBoard determines that he or she canalso do sedentary work, unless thereare additional limiting factors such asloss of fine dexerity or inability to sitfor long periods of time.

(c) Medium work. Medium work in-volves lifting no more than 50 poundsat a time with frequent lifting or car-rying of objects weighing up to 25pounds. If the claimant can do mediumwork, the Board determines that he orshe can also do sedentary and lightwork.

(d) Heavy work. Heavy work involveslifting no more than 100 pounds at atime with frequent lifting or carryingof objects weighing up to 50 pounds. Ifthe claimant can do heavy work, theBoard determines that he or she canalso do medium, light, and sedentarywork.

(e) Very heavy work. Very heavy workinvolves lifting objects weighing morethan 100 pounds at a time with frequentlifting or carrying of objects weighing50 pounds or more. If the claimant cando very heavy work, the Board deter-mines that he or she can also do heavy,medium, light and sedentary work.

§ 220.133 Skill requirements.(a) General. To evaluate skills and to

help determine the existence in the na-tional economy of work the claimant isable to do, occupations are classified asunskilled, semi-skilled, and skilled. Inclassifying these occupations, theBoard uses materials published by theDepartment of Labor.

(b) Unskilled work. Unskilled work iswork which needs little or no judgmentto do simple duties that can be learnedon the job in a short period of time (30days). The job may or may not requireconsiderable strength. A job is consid-ered unskilled if the claimant can usu-ally learn to do the job in 30 days, andlittle job training and judgment areneeded. The claimant does not gainwork skills by doing unskilled jobs.For example, jobs are considered un-skilled if primary work duties are—

(1) Handling;(2) Feeding;(3) Offbearing (placing or removing

materials from machines which areautomatic or operated by others); or

(4) Machine tending.(c) Semi-skilled work. Semi-skilled

work is work which needs some skillsbut does not require doing the morecomplex work duties. A job may beclassified as semi-skilled where coordi-nation and dexterity are necessary, as


231

Railroad Retirement Board § 220.140

when hand or feet must be movedquickly to do repetitive tasks. Semi-skilled jobs may require—

(1) Alertness and close attention towatching machine processes;

(2) Inspecting, testing, or otherwiselooking for irregularities;

(3) Tending or guarding equipment,property, materials, or persons againstloss, damage, or injury; or

(4) Other types of activities which aresimilarly less complex than skilledwork but more complex than unskilledwork.

(d) Skilled work. Skilled work requiresqualifications in which a person usesjudgment to determine the machineand manual operations to be performedin order to obtain the proper form,quality, or quantity of material to beproduced. Skilled jobs may require—

(1) Laying out work;(2) Estimating quality;(3) Determining suitability and need-

ed quantities of materials;(4) Making precise measurements;(5) Reading blueprints or other speci-

fications;(6) Making necessary computations

or mechanical adjustments to controlor regulate work; or

(7) Dealing with people, facts, figuresor abstract ideas at a high level ofcomplexity.

(e) Skills that can be used in other work(transferability)—(1) What the Boardmeans by transferable skills. The Boardconsiders the claimant to have skillsthat can be used in other jobs, whenthe skilled or semi-skilled work activi-ties the claimant did in past work canbe used to meet the requirements ofskilled or semi-skilled work activitiesof other jobs or kinds of work. This de-pends largely on the similarity of occu-pationally significant work activitiesamong different jobs.

(2) How the Board determines skills thatcan be transferred to other jobs. Transfer-ability is most probable and meaning-ful among jobs in which—

(i) The same or a lesser degree ofskill is required;

(ii) The same or similar tools andmachines are used; and

(iii) The same or similar raw mate-rials, products, processes, or servicesare involved.

(3) Degrees of transferability. There aredegrees of transferability of skillsranging from very close similarities toremote and incidental similaritiesamong jobs. A complete similarity ofall three factors is not necessary fortransferability. However, when skillsare so specialized or have been ac-quired in such an isolated vocationalsetting (like many jobs in mining, agri-culture, or fishing) that they are notreadily usable in other industries, jobs,and work settings, they are considerednot transferable.

§ 220.134 Medical-vocational guidelinesin appendix 2 of this part.

(a) The Dictionary of OccupationalTitles includes information about jobs(classified by their exertional and skillrequirements) that exist in the na-tional economy. Appendix 2 of this partprovides rules using this data reflect-ing major functional and vocationalpatterns.

(b) The Board applies that rules inappendix 2 of this part in cases where aclaimant is not doing substantial gain-ful activity and is prevented by a se-vere impairment(s) from doing voca-tionally relevant past work.

(c) The rules in appendix 2 of thispart do not cover all possible vari-ations of factors. The Board does notapply these rules if one of the findingsof fact about the claimant’s vocationalfactors and residual functional capac-ity is not the same as the correspond-ing criterion of a rule. In these in-stances, the Board gives full consider-ation to all relevant facts in accord-ance with the definitions and discus-sions under vocational considerations.However, if the findings of fact madeabout all factors are the same as therule, the Board uses that rule to decidewhether that claimant is disabled.

Subpart L—Substantial GainfulActivity

§ 220.140 General.The work that a claimant has done

during any period in which the claim-ant believes he or she is disabled mayshow that the claimant is able to dowork at the substantial gainful activ-ity level. If the claimant is able to en-gage in substantial gainful activity,


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20 CFR Ch. II (4–1–97 Edition)§ 220.187

frequently than once every 5 years. Re-gardless of the annuitant’s classifica-tion, the Board will conduct an imme-diate continuing disability review if aquestion of continuing disability israised pursuant to paragraph (b) of thissection.

(e) Change in classification of impair-ment. If the evidence developed duringa continuing disability review dem-onstrates that the annuitant’s impair-ment has improved, is expected to im-prove, or has worsened since the lastreview, the Board may reclassify theannuitant’s impairment to reflect thischange in severity. A change in theclassification of the annuitant’s im-pairment will change the frequencywith which the Board will review thecase. The Board may also reclassifycertain impairments because of im-proved tests, treatment, and othertechnical advances concerning thoseimpairments.

(f) Review after administrative appeal.If the annuitant was found eligible toreceive or to continue to receive dis-ability benefits on the basis of a deci-sion by a hearings officer, the three-member Board or a Federal court, theagency will not conduct a continuingdisability review earlier than 3 yearsafter that decision unless the annu-itant’s case should be scheduled for amedical improvement expected or vo-cational reexamination diary review ora question of continuing disability israised pursuant to paragraph (b) of thissection.

(g) Waiver of timeframes. All cases in-volving a nonpermanent impairmentwill be reviewed by the Board at leastonce every 3 years unless the Board de-termines that the requirements shouldbe waived to ensure that only the ap-propriate number of cases are reviewed.The appropriate number of cases to bereviewed is to be based on such consid-erations as the backlog of pending re-views, the projected number of new ap-plications, and projected staffing lev-els. Therefore, an annuitant’s continu-ing disability review may be delayedlonger than 3 years following theBoard’s original decision or other re-view under certain circumstances.Such a delay would be based on theBoard’s need to ensure that backlogs,and new disability claims workloads

are accomplished within available med-ical and other resources and that suchreviews are done carefully and accu-rately.

§ 220.187 If the annuitant’s medical re-covery was expected and the annu-itant returned to work.

If the annuitant’s impairment wasexpected to improve and the annuitantreturned to full-time work with no sig-nificant medical limitations and ac-knowledges that medical improvementhas occurred, the Board may find thatthe annuitant’s disability ended in themonth he or she returned to work. Un-less there is evidence showing that theannuitant’s disability has not ended,the Board will use the medical andother evidence already in the annu-itant’s file and the fact that he or shehas returned to full-time work withoutsignificant limitations to determinethat the annuitant is no longer dis-abled. (If the annuitant’s impairmentis not expected to improve, the Boardwill not ordinarily review his or herclaim until the end of the trial workperiod, as described in § 220.170.)

Example: Evidence obtained during theprocessing of the annuitant’s claim showedthat the annuitant had an impairment thatwas expected to improve about 18 monthsafter the annuitant’s disability began. TheBoard, therefore, told the annuitant that hisor her claim would be reviewed again at thattime. However, before the time arrived forthe annuitant’s scheduled medical reexam-ination, the annuitant told the Board that heor she had returned to work and the annu-itant’s impairment had improved. The Boardinvestigated immediately and found that, inthe 16th month after the annuitant’s began,the annuitant returned to full-time workwithout any significant medical restrictions.Therefore, the Board would find that the an-nuitant’s disability ended in the first monththe annuitant returned to full-time work.

APPENDIX 1—LISTING OF IMPAIRMENTS

In the Listing of Impairments, the listingsunder each separate body system in bothPart A and Part B will be effective for peri-ods ranging from 4 to 8 years unless extendedor revised and promulgated again. Specifi-cally, the body system listings in the Listingof Impairments will be subject to the follow-ing termination dates:

Musculoskeletal system (1.00) within 5years. Consequently, the listings in this bodysystem will no longer be effective on June 6,1992.


20 CFR 220

Railroad Retirement Board

Pt. 220, App. 2

113.05 Retinoblastoma. With one of the following:A. Bilateral involvement, or B. Metastases. orC. Extension beyond the orbit: or D. Recurrence.

APPENDIX 2-MEDICAL-VOCATIONALGUIDELINES

Sec.200.00 Introduction.201.00 Maximum sustained work capability limited to

sedentary work as a result of severe medicallydeterminable impairment(s).

202.00 Maximum sustained work capability limited tolight work as a result of severe medicallydeterminable impairment(s).

203.00 Maximum sustained work capability limited tomedium work as a result of severe medicallydeterminable impairment(s).

204.00 Maximum sustained work capability limited toheavy work (or very heavy work) as a result ofsevere medically determinable impairment(s).

200.00 Introduction. (a) The following rulesreflect the major functional and vocational patternswhich are encountered in cases which cannot be.evaluated on medical considerations alone. where allindividual with a severe medically determinablephysical or mental Impairment(s) is not engaging insubstantial gainful activity and the individual'simpairment(s) prevents tile performance of his or hervocationally relevant past work. They also reflect tileanalysis of the various vocational factors (i.e.. age.education. and work experience) in combination withthe individual's residual functional capacity (used todetermine his or tier maximum sustained workcapability for sedentary, light. medium. heavy. or veryheavy work) in evaluating the Individual's ability toengage in substantial gainful activity in other than hisor her vocationally relevant past work. Where thefindings of fact made with respect to a particularindividual's vocational factors and residual functionalcapacity coincide with all of the criteria of a particularrule. the rule directs a conclusion as to whether theindividual is or is not disabled. However, each ofthese findings of fact is subject to rebuttal and theIndividual may present evidence to refute suchfindings. Where any one of the findings of factdoes not coincide with tile corresponding criterion ofa rule. the rule does not apply in that particular caseand. accordingly. does not direct a conclusion ofdisabled or not disabled. In any instance where a ruledoes not apply. full consideration must be given to allof the relevant facts of the case in accordance with thedefinitions and discussions of each factor in theappropriate sections of the regulations.

(b) The existence of jobs in the nationaleconomy is reflected in the "Decisions"shown in the rules. i.e.. in promulgating therules. administrative notice has been takenof the numbers of unskilled jobs that existthroughout the national economy at the variousfunctional levels (sedentary. light, medium, heavy.and very heavy) as supported by the "Dictionary ofOccupational Titles" and the "Occupational OutlookHandbook.--published by tile Department of Labor:tile. "County Business Patterns- and "Census Surveys-published by the Bureau of the Census; andoccupational surveys of light and sedentary jobsprepared for the Social Security Administration byvarious State employment agencies. Thus, when allfactors coincide with the criteria of a rule. the exist-ence of such jobs is established. However. theexistence of such jobs for Individuals whoseremaining functional capacity or other factors do notcoincide with the criteria of a rule must be furtherconsidered in terms of what kinds of jobs or types ofwork may be. either additionally indicated orprecluded.

(c) In tile application of the rules. the individual'sresidual functional capacity (i.e.. the maximumdegree to which the individual retains the capacity forsustained performance of tile physical-mentalrequirements of jobs), age. education, and workexperience must first be. determined.

(d) Tile correct disability decision (i.e.. Oil tileissue of ability to engage in substantial gainfulactivity) is found by then locating the individual'sspecific vocational profile. If all individual's specificprofile is not listed within this appendix 2. aconclusion of disabled or not disabled is not directed.Thus, for example, an individual's ability to engage insubstantial gainful work where his or tier residualfunctional capacity falls between the. ranges of workindicated in the rules (e.g.. the individual who canperform more than light but less than medium work).is decided on the basis of the principles anddefinitions in the regulations. giving consideration tothe rules for specific case situations in this appendix2. These rules represent various combinations ofexertional capabilities. age, education and workexperience and also provide an overall structure forevaluation of those cases in which tile judgments as toeach factor do not coincide with those of any specificrule. Thus, when tile necessary judgments have beenmade as to each factor and it is found that no specificrule applies. the rules still provide guidance fordecisionmaking. such as in case-% involvingcombinations of impairments. For example. ifstrength limitations resulting from all individual’simpairment(s) considered with tile. judgments madeas to the individual's

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20 CFR Ch. 11 (4-1-97 Edition)

368

20 CFR Ch. III (4–1–97 Edition)§ 404.1566


(a) General. We consider that workexists in the national economy when itexists in significant numbers either inthe region where you live or in severalother regions of the country. It doesnot matter whether—

(1) Work exists in the immediate areain which you live;

(2) A specific job vacancy exists foryou; or

(3) You would be hired if you appliedfor work.

(b) How we determine the existence ofwork. Work exists in the national econ-omy when there is a significant num-ber of jobs (in one or more occupations)having requirements which you areable to meet with your physical ormental abilities and vocational quali-fications. Isolated jobs that exist onlyin very limited numbers in relativelyfew locations outside of the regionwhere you live are not considered‘‘work which exists in the nationaleconomy’’. We will not deny you dis-ability benefits on the basis of the ex-istence of these kinds of jobs. If workthat you can do does not exist in thenational economy, we will determinethat you are disabled. However, if workthat you can do does exist in the na-tional economy, we will determine thatyou are not disabled.

(c) Inability to obtain work. We willdetermine that you are not disabled ifyour residual functional capacity andvocational abilities make it possiblefor you to do work which exists in thenational economy, but you remain un-employed because of—

(1) Your inability to get work;(2) Lack of work in your local area;(3) The hiring practices of employers;(4) Technological changes in the in-

dustry in which you have worked;(5) Cyclical economic conditions;(6) No job openings for you;(7) You would not actually be hired

to do work you could otherwise do; or(8) You do not wish to do a particular

type of work.(d) Administrative notice of job data.

When we determine that unskilled, sed-entary, light, and medium jobs exist inthe national economy (in significantnumbers either in the region where youlive or in several regions of the coun-

try), we will take administrative no-tice of reliable job information avail-able from various governmental andother publications. For example, wewill take notice of—

(1) Dictionary of Occupational Titles,published by the Department of Labor;

(2) County Business Patterns, pub-lished by the Bureau of the Census;

(3) Census Reports, also published bythe Bureau of the Census;

(4) Occupational Analyses, preparedfor the Social Security Administrationby various State employment agencies;and


(e) Use of vocational experts and otherspecialists. If the issue in determiningwhether you are disabled is whetheryour work skills can be used in otherwork and the specific occupations inwhich they can be used, or there is asimilarly complex issue, we may usethe services of a vocational expert orother specialist. We will decide wheth-er to use a vocational expert or otherspecialist.


To determine the physical exertionrequirements of work in the nationaleconomy, we classify jobs as sedentary,light, medium, heavy, and very heavy.These terms have the same meaning asthey have in the Dictionary of Occupa-tional Titles, published by the Depart-ment of Labor. In making disability de-terminations under this subpart, weuse the following definitions:

(a) Sedentary work. Sedentary workinvolves lifting no more than 10 poundsat a time and occasionally lifting orcarrying articles like docket files,ledgers, and small tools. Although asedentary job is defined as one whichinvolves sitting, a certain amount ofwalking and standing is often nec-essary in carrying out job duties. Jobsare sedentary if walking and standingare required occasionally and othersedentary criteria are met.

(b) Light work. Light work involveslifting no more than 20 pounds at atime with frequent lifting or carryingof objects weighing up to 10 pounds.Even though the weight lifted may be

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370





(3) Degrees of transferability. There aredegrees of transferability of skillsranging from very close similarities toremote and incidental similaritiesamong jobs. A complete similarity ofall three factors is not necessary fortransferability. However, when skillsare so specialized or have been ac-quired in such an isolated vocationalsetting (like many jobs in mining, agri-culture, or fishing) that they are notreadily usable in other industries, jobs,and work settings, we consider thatthey are not transferable.

§ 404.1569 Listing of Medical-Voca-tional Guidelines in appendix 2.

The Dictionary of Occupational Ti-tles includes information about jobs(classified by their exertional and skillrequirements) that exist in the na-tional economy. Appendix 2 providesrules using this data reflecting majorfunctional and vocational patterns. Weapply these rules in cases where a per-son is not doing substantial gainful ac-tivity and is prevented by a severemedically determinable impairmentfrom doing vocationally relevant pastwork. The rules in appendix 2 do notcover all possible variations of factors.Also, as we explain in § 200.00 of appen-dix 2, we do not apply these rules if oneof the findings of fact about the per-son’s vocational factors and residualfunctional capacity is not the same asthe corresponding criterion of a rule.In these instances, we give full consid-eration to all relevant facts in accord-ance with the definitions and discus-sions under vocational considerations.However, if the findings of fact madeabout all factors are the same as therule, we use that rule to decide wheth-er a person is disabled.

§ 404.1569a Exertional andnonexertional limitations.

(a) General. Your impairment(s) andrelated symptoms, such as pain, maycause limitations of function or re-strictions which limit your ability to

meet certain demands of jobs. Theselimitations may be exertional,nonexertional, or a combination ofboth. Limitations are classified asexertional if they affect your ability tomeet the strength demands of jobs. Theclassification of a limitation asexertional is related to the UnitedStates Department of Labor’s classi-fication of jobs by various exertionallevels (sedentary, light, medium,heavy, and very heavy) in terms of thestrength demands for sitting, standing,walking, lifting, carrying, pushing, andpulling. Sections 404.1567 and 404.1569explain how we use the classification ofjobs by exertional levels (strength de-mands) which is contained in the Dic-tionary of Occupational Titles pub-lished by the Department of Labor, todetermine the exertional requirementsof work which exists in the nationaleconomy. Limitations or restrictionswhich affect your ability to meet thedemands of jobs other than thestrength demands, that is, demandsother than sitting, standing, walking,lifting, carrying, pushing or pulling,are considered nonexertional. Sections404.1520(f) and 404.1594(f)(8) explain thatif you can no longer do your past rel-evant work because of a severe medi-cally determinable impairment(s), wemust determine whether your impair-ment(s), when considered along withyour age, education, and work experi-ence, prevents you from doing anyother work which exists in the nationaleconomy in order to decide whetheryou are disabled (§ 404.1520(f)) or con-tinue to be disabled (§ 404.1594(f)(8)).Paragraphs (b), (c), and (d) of this sec-tion explain how we apply the medical-vocational guidelines in appendix 2 ofthis subpart in making this determina-tion, depending on whether the limita-tions or restrictions imposed by yourimpairment(s) and related symptoms,such as pain, are exertional,nonexertional, or a combination ofboth.

(b) Exertional limitations. When thelimitations and restrictions imposed byyour impairment(s) and related symp-toms, such as pain, affect only yourability to meet the strength demandsof jobs (sitting, standing, walking, lift-ing, carrying, pushing, and pulling), weconsider that you have only exertional


20 CFR 404 PSocial Security Administration

Pt. 404, Subpt. P, App. 2

(1) Marked restriction of age-appropriateactivities of daily living, documented by history andmedical findings (including consideration ofinformation from parents or other individuals whohave knowledge of the child , when suchinformation is needed and available) and including.If necessary. appropriate standardized tests: or

(2) Persistent serious maladaptive behaviorsdestructive to self. others. animals. or property.requiring protective intervention. or

114.00 IMMUNE SYSTEM

D.* **6. Evaluation of HIV infection in children. The

criteria in 114.08 do not describe the full spectrumof diseases or conditions manifested by childrenwith HIV infection. As In any case. considerationmust be given to whether a child's impairment(s)meets or equals in severity any other listing inappendix I of subpart P (e.g.. a neoplastic disorderlisted in 113.00ff). Although 114.08 includescross-references to other listings for the more.common manifestations of HIV infection,additional listings may also apply.

* * * If the child's impairment or impa irments donot meet or equal a listing in severity, evaluationmust proceed through the final step(s) of thesequential evaluation process (or. as appropriate.the steps in the medical improvement reviewstandard) before any conclusion can be reached onthe issue of disability.

EFFECTIVE DATE NOTE 2: At 62 FR 13733, Mar.21. 1997. in appendix I to subpart P. in 112.OOC4.the word "measure" was corrected to read"measures", effective Apr. 14, 1997.

APPENDIX 2 TO SUBPART P-MEDICAL-VOCATIONAL GUIDELINES

Sec.200.00 Introduction.201.00 Maximum sustained work capability limited

to sedentary work as a result of severemedically determinable Impairment(s).

202.00 Maximum sustained work capability limitedto light work as a result of severe medicallydeterminable impairments

203.00 Maximum sustained work capability limitedto medium work as a result of severe medicallydeterminable impairment(s).

20 CFR Ch. 111 (4-1-97 Edition)

204.00 Maximum sustained work capability limitedto heavy work (or very heavy work) as a resultof severe medically determinableimpairment(s).

200.00 Introduction. (a) The. following rulesreflect the major functional and vocational patternswhich are encountered in cases which cannot lit-evaluated on medical considerations alone, wherean individual with a severe medically determinablephysical or mental impairment(s) is not engaging insubstantial gainful activity and the individual'simpairment(s) prevents the performance of his orher vocationally relevant past work. They alsoreflect the analysis of the various vocational factors(i.e.. age. education. and work experience) incombinat ion with the individual's residualfunctional capacity (used to determine his or hermaximum sustained work capability for sedentary.light. me-dium. heavy. or very heavy work) inevaluating the individual's ability to engage. insubstantial gainful activity in other than his or hervocationally relevant past work. Where the findingsof fact made with respect to a particular individual'svocational factors and residual functional capacitycoincide with all of the criteria of a particular rule.the rule directs a conclusion as to whether theindividual is or is not disabled. However. each ofthese findings of fact is subject to rebuttal and theindividual may present evidence to refute suchfindings. Where any one of the findings of fact doesnot coincide with the corresponding criterion of arule. the rule does tint apply in that particular caseand. accordingly. does not direct a conclusion ofdisabled or not disabled. In any instance where arule does not apply. full consideration must begiven to all of the relevant facts of the case inaccordance with the definitions and discussions ofeach factor in the appropriate sections of theregulations.

(b) The existence of jobs lit the national economyis reflected in the -Declsionsshown in the rules: i.e..in promulgating the rules. administrative notice hasbeen taken of the number.% of unskilled jobs thatexist throughout the national economy at thevarious functional levels (sedentary. light. medium,heavy, and very heavy) as supported by the"Dictionary of Occupational Titles" and the"Occupational Outlook Handbook," published bythe Department of Labor: the -County BusinessPatterns" and "Census Surveys" published by theBureau of the Census: and occupational surveys oflight and sedentary jobs prepared for the SocialSecurity Administration by various Stateemployment agencies. Thus. when all factorscoincide with the. criteria of a rule, the existence ofsuch jobs is established. However. the existence ofsuch jobs for individuals whose remainingfunctional capacity or other factor-, do not coincidewith the criteria of a rule must be further consideredin terms of

488

761

Social Security Administration § 416.966

and any other activities which mighthelp you to work.

§ 416.965 Your work experience as avocational factor.

(a) General. Work experience meansskills and abilities you have acquiredthrough work you have done whichshow the type of work you may be ex-pected to do. Work you have alreadybeen able to do shows the kind of workthat you may be expected to do. Weconsider that your work experience ap-plies when it was done within the last15 years, lasted long enough for you tolearn to do it, and was substantialgainful activity. We do not usuallyconsider that work you did 15 years ormore before the time we are decidingwhether you are disabled applies. Agradual change occurs in most jobs sothat after 15 years it is no longer real-istic to expect that skills and abilitiesacquired in a job done then continue toapply. The 15-year guide is intended toinsure that remote work experience isnot currently applied. If you have nowork experience or worked only off-and-on or for brief periods of time dur-ing the 15-year period, we generallyconsider that these do not apply. If youhave acquired skills through your pastwork, we consider you to have thesework skills unless you cannot use themin other skilled or semi-skilled workthat you can now do. If you cannot useyour skills in other skilled or semi-skilled work, we will consider yourwork background the same as un-skilled. However, even if you have nowork experience, we may consider thatyou are able to do unskilled work be-cause it requires little or no judgmentand can be learned in a short period oftime.

(b) Information about your work.Under certain circumstances, we willask you about the work you have donein the past. If you cannot give us all ofthe information we need, we will try,with your permission, to get it fromyour employer or other person whoknows about your work, such as amember of your family or a co-worker.When we need to consider your workexperience to decide whether you areable to do work that is different fromwhat you have done in the past, we willask you to tell us about all of the jobs

you have had in the last 15 years. Youmust tell us the dates you worked, allof the duties you did, and any tools,machinery, and equipment you used.We will need to know about theamount of walking, standing, sitting,lifting and carrying you did during thework day, as well as any other physicalor mental duties of your job. If all ofyour work in the past 15 years has beenarduous and unskilled, and you havevery little education, we will ask youto tell us about all of your work fromthe time you first began working. Thisinformation could help you to get dis-ability benefits.


(a) General. We consider that workexists in the national economy when itexists in significant numbers either inthe region where you live or in severalother regions of the country. It doesnot matter whether—

(1) Work exists in the immediate areain which you live;

(2) A specific job vacancy exists foryou; or

(3) You would be hired if you appliedfor work.

(b) How we determine the existence ofwork. Work exists in the national econ-omy when there is a significant num-ber of jobs (in one or more occupations)having requirements which you areable to meet with your physical ormental abilities and vocational quali-fications. Isolated jobs that exist onlyin very limited numbers in relativelyfew locations outside of the regionwhere you live are not considered workwhich exists in the national economy. Wewill not deny you disability benefits onthe basis of the existence of thesekinds of jobs. If work that you can dodoes not exist in the national economy,we will determine that you are dis-abled. However, if work that you cando does exist in the national economy,we will determine that you are not dis-abled.

(c) Inability to obtain work. We willdetermine that you are not disabled ifyour residual functional capacity andvocational abilities make it possiblefor you to do work which exists in thenational economy, but you remain un-employed because of—


762


(1) Your inability to get work;(2) Lack of work in your local area;(3) The hiring practices of employers;(4) Technological changes in the in-

dustry in which you have worked;(5) Cyclical economic conditions;(6) No job openings for you;(7) You would not actually be hired

to do work you could otherwise do, or;(8) You do not wish to do a particular

type of work.(d) Administrative notice of job data.

When we determine that unskilled, sed-entary, light, and medium jobs exist inthe national economy (in significantnumbers either in the region where youlive or in several regions of the coun-try), we will take administrative no-tice of reliable job information avail-able from various governmental andother publications. For example, wewill take notice of—

(1) Dictionary of Occupational Titles,published by the Department of Labor;

(2) County Business Patterns, pub-lished by the Bureau of the Census;

(3) Census Reports, also published bythe Bureau of the Census;

(4) Occupational Analyses prepared forthe Social Security Administration byvarious State employment agencies;and


(e) Use of vocational experts and otherspecialists. If the issue in determiningwhether you are disabled is whetheryour work skills can be used in otherwork and the specific occupations inwhich they can be used, or there is asimilarly complex issue, we may usethe services of a vocational expert orother specialist. We will decide wheth-er to use a vocational expert or otherspecialist.


To determine the physical exertionrequirments of work in the nationaleconomy, we classify jobs as sedentary,light, medium, heavy, and very heavy.These terms have the same meaning asthey have in the Dictionary of Occupa-tional Titles, published by the Depart-ment of Labor. In making disability de-terminations under this subpart, weuse the following definitions:

(a) Sedentary work. Sedentary workinvolves lifting no more than 10 poundsat a time and occasionally lifting orcarrying articles like docket files,ledgers, and small tools. Although asedentary job is defined as one whichinvolves sitting, a certain amount ofwalking and standing is often nec-essary in carrying out job duties. Jobsare sedentary if walking and standingare required occasionally and othersedentary criteria are met.

(b) Light work. Light work involveslifting no more than 20 pounds at atime with frequent lifting or carryingof objects weighing up to 10 pounds.Even though the weight lifted may bevery little, a job is in this categorywhen it requires a good deal of walkingor standing, or when it involves sittingmost of the time with some pushingand pulling of arm or leg controls. Tobe considered capable of performing afull or wide range of light work, youmust have the ability to do substan-tially all of these activities. If someonecan do light work, we determine thathe or she can also do sedentary work,unless there are additional limitingfactors such as loss of fine dexterity orinability to sit for long periods of time.

(c) Medium work. Medium work in-volves lifting no more than 50 poundsat a time with frequent lifting or car-rying of objects weighing up to 25pounds. If someone can do mediumwork, we determine that he or she canalso do sedentary and light work.

(d) Heavy work. Heavy work involveslifting no more than 100 pounds at atime with frequent lifting or carryingof objects weighing up to 50 pounds. Ifsomeone can do heavy work, we deter-mine that he or she can also do me-dium, light, and sedentary work.

(e) Very heavy work. Very heavy workinvolves lifting objects weighing morethan 100 pounds at a time with frequentlifting or carrying of objects weighing50 pounds or more. If someone can dovery heavy work, we determine that heor she can also do heavy, medium,light, and sedentary work.

§ 416.968 Skill requirements.

In order to evaluate your skills andto help determine the existence in thenational economy of work you are able


763

Social Security Administration § 416.969

to do, occupations are classified as un-skilled, semi-skilled, and skilled. Inclassifying these occupations, we usematerials published by the Departmentof Labor. When we make disability de-terminations under this subpart, weuse the following definitions:

(a) Unskilled work. Unskilled work iswork which needs little or no judgmentto do simple duties that can be learnedon the job in a short period of time.The job may or may not require consid-erable strength. For example, we con-sider jobs unskilled if the primarywork duties are handling, feeding andoffbearing (that is, placing or removingmaterials from machines which areautomatic or operated by others), ormachine tending, and a person can usu-ally learn to do the job in 30 days, andlittle specific vocational preparationand judgment are needed. A persondoes not gain work skills by doing un-skilled jobs.

(b) Semi-skilled work. Semi-skilledwork is work which needs some skillsbut does not require doing the morecomplex work duties. Semi-skilled jobsmay require alertness and close atten-tion to watching machine processes; orinspecting, testing or otherwise look-ing for irregularities; or tending orguarding equipment, property, mate-rials, or persons against loss, damageor injury; or other types of activitieswhich are similarly less complex thanskilled work, but more complex thanunskilled work. A job may be classifiedas semi-skilled where coordination anddexterity are necessary, as when handsor feet must be moved quickly to do re-petitive tasks.

(c) Skilled work. Skilled work requiresqualifications in which a person usesjudgment to determine the machineand manual operations to be performedin order to obtain the proper form,quality, or quantity of material to beproduced. Skilled work may requirelaying out work, estimating quality,determining the suitability and neededquantities of materials, making precisemeasurements, reading blueprints orother specifications, or making nec-essary computations or mechanical ad-justments to control or regulate thework. Other skilled jobs may requiredealing with people, facts, or figures or

abstract ideas at a high level of com-plexity.

(d) Skills that can be used in other work(transferability)—(1) What we mean bytransferable skills. We consider you tohave skills that can be used in otherjobs, when the skilled or semi-skilledwork activities you did in past workcan be used to meet the requirementsof skilled or semi-skilled work activi-ties of other jobs or kinds of work. Thisdepends largely on the similarity of oc-cupationally significant work activi-ties among different jobs.

(2) How we determine skills that can betransferred to other jobs. Transferabilityis most probable and meaningfulamong jobs in which—




(3) Degrees of transferability. There aredegrees of transferability of skillsranging from very close similarities toremote and incidental similaritiesamong jobs. A complete similarity ofall three factors is not necessary fortransferability. However, when skillsare so specialized or have been ac-quired in such an isolated vocationalsetting (like many jobs in mining, agri-culture, or fishing) that they are notreadily usable in other industries, jobs,and work settings, we consider thatthey are not transferable.

§ 416.969 Listing of Medical-VocationalGuidelines in appendix 2 of subpartP of part 404 of this chapter.

The Dictionary of Occupational Titlesincludes information about jobs (classi-fied by their exertional and skill re-quirements) that exist in the nationaleconomy. Appendix 2 provides rulesusing this data reflecting major func-tional and vocational patterns. Weapply these rules in cases where a per-son is not doing substantial gainful ac-tivity and is prevented by a severemedically determinable impairmentfrom doing vocationally relevant pastwork. The rules in appendix 2 do notcover all possible variations of factors.Also, as we explain in § 200.00 of appen-dix 2, we do not apply these rules if one


764

20 CFR Ch. III (4–1–97 Edition)§ 416.969a

of the findings of fact about the per-son’s vocational factors and residualfunctional capacity is not the same asthe corresponding criterion of a rule.In these instances, we give full consid-eration to all relevant facts in accord-ance with the definitions and discus-sions under vocational considerations.However, if the findings of fact madeabout all factors are the same as therule, we use that rule to decide wheth-er a person is disabled.

§ 416.969a Exertional andnonexertional limitations.

(a) General. Your impairment(s) andrelated symptoms, such as pain, maycause limitations of function or re-strictions which limit your ability tomeet certain demands of jobs. Theselimitations may be exertional,nonexertional, or a combination ofboth. Limitations are classified asexertional if they affect your ability tomeet the strength demands of jobs. Theclassification of a limitation asexertional is related to the UnitedStates Department of Labor’s classi-fication of jobs by various exertionallevels (sedentary, light, medium,heavy, and very heavy) in terms of thestrength demands for sitting, standing,walking, lifting, carrying, pushing, andpulling. Sections 416.967 and 416.969 ex-plain how we use the classification ofjobs by exertional levels (strength de-mands) which is contained in the Dic-tionary of Occupational Titles pub-lished by the Department of Labor, todetermine the exertional requirementsof work which exists in the nationaleconomy. Limitations or restrictionswhich affect your ability to meet thedemands of jobs other than thestrength demands, that is, demandsother than sitting, standing, walking,lifting, carrying, pushing or pulling,are considered nonexertional. Sections416.920(f) and 416.994(b)(5)(viii) explainthat if you can no longer do your pastrelevant work because of a severemedically determinable impairment(s),we must determine whether your im-pairment(s), when considered alongwith your age, education, and work ex-perience, prevents you from doing anyother work which exists in the nationaleconomy in order to decide whetheryou are disabled (§ 416.920(f)) or con-

tinue to be disabled(§ 416.994(b)(5)(viii)). Paragraphs (b), (c),and (d) of this section explain how weapply the medical-vocational guide-lines in appendix 2 of subpart P of part404 of this chapter in making this de-termination, depending on whether thelimitations or restrictions imposed byyour impairment(s) and related symp-toms, such as pain, are exertional,nonexertional, or a combination ofboth.

(b) Exertional limitations. When thelimitations and restrictions imposed byyour impairment(s) and related symp-toms, such as pain, affect only yourability to meet the strength demandsof jobs (sitting, standing, walking, lift-ing, carrying, pushing, and pulling), weconsider that you have only exertionallimitations. When your impairment(s)and related symptoms only imposeexertional limitations and your spe-cific vocational profile is listed in arule contained in appendix 2, we willdirectly apply that rule to decidewhether you are disabled.

(c) Nonexertional limitations. (1) Whenthe limitations and restrictions im-posed by your impairment(s) and relat-ed symptoms, such as pain, affect onlyyour ability to meet the demands ofjobs other than the strength demands,we consider that you have onlynonexertional limitations or restric-tions. Some examples of nonexertionallimitations or restrictions include thefollowing:

(i) You have difficulty functioningbecause you are nervous, anxious, ordepressed;

(ii) You have difficulty maintainingattention or concentrating;

(iii) You have difficulty understand-ing or remembering detailed instruc-tions;

(iv) You have difficulty in seeing orhearing;

(v) You have difficulty toleratingsome physical feature(s) of certainwork settings, e.g., you cannot toleratedust or fumes; or

(vi) You have difficulty performingthe manipulative or postural functionsof some work such as reaching, han-dling, stooping, climbing, crawling, orcrouching.

(2) If your impairment(s) and relatedsymptoms, such as pain, only affect


193

Employment and Training Administration, Labor § 627.240

foreign travel for employment generat-ing activities, economic developmentactivities, or similar activities.

(b) JTPA funds may be used for nor-mal employer outreach and job devel-opment activities including, but notlimited to: contacts with potential em-ployers for the purpose of placement ofJTPA participants; participation inbusiness associations (such as cham-bers of commerce); JTPA staff partici-pation on economic developmentboards and commissions, and workwith economic development agencies,to provide information about JTPAand to assist in making informed deci-sions about community job trainingneeds; subscriptions to relevant publi-cations; general dissemination of infor-mation on JTPA programs and activi-ties; labor market surveys; and devel-opment of on-the-job training (OJT)opportunities, as defined in § 627.240;and other allowable JTPA activities inthe private sector.

§ 627.230 Displacement.

(a) No currently employed workershall be displaced by any participant(including partial displacement such asa reduction in the hours of non-overtime work, wages, or employmentbenefits).

(b) No participant shall be employedor job opening filled: (1) When anyother individual is on layoff from thesame or any substantially equivalentjob, or

(2) When the employer has termi-nated any regular employee withoutcause or otherwise reduced itsworkforce with the intention of fillingthe vacancy so created by hiring a par-ticipant whose wages are subsidizedunder the Act.

(c) Violations and sanctions. The De-partment will promptly review andtake appropriate action with regard toalleged violations of the provisions ofparagraphs (a) and (b) of this section.Procedures for the investigation andresolution of violations are providedfor under subpart F of this part. Sanc-tions and remedies are provided forunder subpart G of this part.

§ 627.235 General program require-ments.

(a) The requirements set forth in sec-tions 141, 142 and 143 of the Act applyto all programs under titles I, II, andIII of the Act, except as provided else-where in the Act.

(b) Recipients shall ensure that anindividual enrolled in a JTPA programmeets the requirements of section167(a)(5) of the Act, Section 3 of theMilitary Selective Service Act (50U.S.C. App. 453) and other require-ments applicable to programs fundedunder the specific section or title ofthe Act under which the participant isenrolling (section 604).

(c) Recipients shall ensure that indi-viduals are enrolled within 45 days ofthe date of eligibility determination ora new eligibility determination (in-cluding new application, if necessary)shall be made, except that eligiblesummer program applicants under titleII-B may be enrolled within 45 daysinto a summer youth enrollee pool, andno subsequent eligibility determina-tion need be made prior to participa-tion during the period of that summerprogram. In addition, the 45-day enroll-ment requirement shall not apply forindividuals who have a valid certificateof continuing eligibility under the titleIII program, as described in § 631.3 and§ 631.53 of this chapter.

(d) Programs operated under titles I,II, and III of the Act are not subject tothe provisions of 29 CFR part 97, ‘‘Uni-form Administrative Requirements forGrants and Cooperative Agreements toState and Local Governments,’’ exceptas otherwise explicitly provided in thischapter.

(e) If a recipient or SDA imposes a re-quirement that is in addition to theprovisions of the Act and these regula-tions relating to the administrationand operation of programs funded bythe Act, the recipient or SDA shallidentify the requirement as a State- orSDA-imposed requirement (section124).

§ 627.240 On-the-job training.(a) General—(1) On-the-job training

(OJT) means training by an employerin the private or public sector given to


194

20 CFR Ch. V (4–1–97 Edition)§ 627.240

a participant who, after objective as-sessment, and in accordance with theISS, has been referred to and hired bythe employer following the develop-ment of an agreement with the em-ployer to provide occupational trainingin exchange for reimbursement of theemployer’s extraordinary costs. On-the-job training occurs while the par-ticipant is engaged in productive workwhich provides knowledge and skillsessential to the full and adequate per-formance of the job.

(2) This does not preclude a partici-pant who has been trained by one em-ployer from ultimately being placed ina comparable training-related positionwith another employer.

(3) On-the-job training may besequenced with or accompanied byother types of training such as class-room training or literacy training.

(b) Duration of OJT.—(1) OJT author-ized for a participant shall be limitedto a period not in excess of that re-quired for the participant to acquirethe skills needed for the OJT position.Except as described in paragraph (b) (3)of this section, the period of reimburse-ment to the employer under an OJTagreement shall not exceed 6 months oftraining.

(2) The 6-month duration of OJT maybe expressed as a number of hours,days, or weeks the participant is ex-pected to work in a 6-month period ifthe participant works full-time.

(3) In the event that a participant’sregular employment is less than full-time and less than 500 hours of OJT hasoccurred by the end of 6 months, thatparticipant may remain in OJT until499 hours OJT hours have occurred.

(4)(i) Recipients shall develop policiesand procedures for determining the av-erage training duration for occupationsincluding to reflect an individual par-ticipant’s need for additional trainingtime, or reduction in training time toreflect the individual participant’s par-tial acquisition of needed skills. (In nocase should an individual who is fullyskilled in an occupation be placed inOJT in that occupation.)

(ii) In determining the average train-ing time, consideration should be givento recognized reference materials, suchas the ‘‘Dictionary of Occupational Ti-tles’’ (DOT) and employer training

plans. Such materials need not be lim-ited to the DOT, however.

(5) On-the-job training is encouraged,but not required, in all occupationswith significant training content, par-ticularly in higher-skill occupationsappropriate to the participant’s needs.Training plans may be developed thatrecognize the full duration of the OJTperiod necessary for the full and ade-quate performance of the job, but theperiod of reimbursement may not ex-ceed the duration in paragraph (a)(1) or(a)(2) of this section.

(6) When the OJT period in a givenoccupation for a participant for whomthe ISS identifies OJT as appropriatevaries from the average for that occu-pation, the basis for the variation shallbe recorded in the ISS.

(c) On-the-job training payments to em-ployers. (1) On-the-job training pay-ments to employers are deemed to bein compensation for the extraordinarycosts associated with training partici-pants and in compensation for thecosts associated with the lower produc-tivity of such participants. Employersshall not be required to document suchextraordinary costs or lower productiv-ity (section 141(g)(1)).

(2)(i) On-the-job training payments toemployers shall not, during the periodof such training, average more than 50percent of the wages paid by the em-ployer to OJT participants.

(ii) On-the-job training payments toemployers may be based upon sched-uled raises or regular pay increases.

(iii) On-the-job training paymentsmay not be based on overtime, shiftdifferential, premium pay and othernonregular wages paid by the employerto participants.

(iv) On-the-job training paymentsmay not be based upon periods of timesuch as illness, holidays, plant down-time or other events in which no train-ing occurs.

(3) Employers which provide class-room or vestibule training to meet thespecific training needs of JTPA partici-pants to equip them with educationand knowledge necessary to the OJToccupation may be separately reim-bursed for training costs, such as in-structors and training material.


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PART 651—GENERAL PROVISIONSGOVERNING THE FEDERAL–STATEEMPLOYMENT SERVICE SYSTEM

§ 651.10 Definitions of terms used inparts 651–658.

Administrator, United States Employ-ment Service (Administrator) means thechief official of the United States Em-ployment Service (USES) or the Ad-ministrator’s designee.

Affirmative action means positive, re-sult-oriented action imposed on or as-sumed by an employer pursuant to leg-islation, court order, consent decree,directive of a fair employment practiceauthority, government contract, grantor loan, or voluntary affirmative ac-tion plan adopted pursuant to the Af-firmative Action Guidelines of theEqual Employment Opportunity Com-mission to provide equal employmentopportunities for members of a speci-fied group which for reasons of pastcustom, historical practice, or othernonoccupationally valid purposes hasbeen discouraged from entering certainoccupational fields.

Agricultural worker means a worker,whose primary work experience hasbeen in farmwork in industries with aStandard Industrial Classification(SIC) of 01–07, except 027, 074, 0752, and078, whether alien or citizen, who is le-gally allowed to work in the UnitedStates.

Applicant means a person who files anapplication for services with a local of-fice of a State agency, withoutstationed staff or with an outreachworker.

Application card means the basic localoffice record for an applicant.

A Bona Fide Occupational Qualifica-tion (BFOQ) means that an employ-ment decision or request based on age,sex, national origin or religion is basedon a finding that such characteristic isnecessary to the individual’s ability toperform the job in question. Since aBFOQ is an exception to the generalprohibition against discrimination onthe basis of age, sex, national origin orreligion, it must be interpreted nar-rowly in accordance with the EqualEmployment Opportunity Commissionregulations set forth at 29 CFR parts1604, 1605 and 1627.

Clearance means activities in theplacement process involving joint ac-tion of local offices in different labormarket areas and/or States in the loca-tion, selection and the job referral ofan applicant.

Complaint means a representationmade or referred to a State or local JSoffice of a violation of the JS regula-tions and/or other federal, State orlocal employment related law.

Complainant means the individual,employer, organization, association, orother entity filing a complaint.

Day-haul means the assembly ofworkers at a pick-up point waiting tobe employed, transportation of them tofarm employment, and the return ofthe workers to the pick-up point on thesame day. For the purposes of this defi-nition ‘‘day-haul’’ shall exclude trans-portation and return of workers em-ployed under regularly scheduled joborders such as corn detasseling jobs foryouth.

Decertification means the rescissionby the Secretary of the year end cer-tification made under Section 7 of theWagner-Peyser Act to the Secretary ofthe Treasury that the State agencymay receive funds authorized by theWagner-Peyser Act.

Dictionary of Occupational Titles(DOT) means the Dictionary of Occupa-tional Titles, the reference work pub-lished by the USES which containsbrief, non-technical definitions of U.S.job titles, distinguishing number codes,and worker trait data.

DOL means the Department of Labor.D.O.T. means the Dictionary of Occu-

pational Titles, the reference workpublished by the USES which containsbrief, non-technical definitions of U.S.job titles, distinguishing number codes,and worker trait data.

Employment and Training Administra-tion (ETA) means the component of theDepartment of Labor containing theUnited States Employment Service(USES).

Employer means a person, firm, cor-poration or other association or orga-nization (1) which currently has a loca-tion within the United States to whichU.S. workers may be referred for em-ployment, and which proposes to em-ploy a worker at a place within the


384

20 CFR Ch. V (4–1–97 Edition)§ 651.10

United States and (2) which has an em-ployer relationship with respect to em-ployees under this subpart as indicatedby the fact that it hires, pays, fires, su-pervises and otherwise controls thework of such employee. An associationof employers shall be considered anemployer if it has all of the indicia ofan employer set forth in this defini-tion. Such an association, however,shall be considered as a joint employerwith the employer member if eithershares in exercising one or more of thedefinitional indicia.

Establishment means a public or pri-vate economic employing unit gen-erally at a single physical locationwhich produces and/or sells goods orservices, for example, a mine, factory,store, farm orchard or ranch. It is usu-ally engaged in one, or predominantlyone, type of commerical or govern-mental activity. Each branch or sub-sidiary unit of a large employer in ageographical area or communityshould be considered an individual es-tablishment, except that all such unitsin the same physical location shall beconsidered a single establishment. Acomponent of an establishment whichmay not be located in the same phys-ical structure (such as the warehouseof a department store) should also beconsidered as part of the parent estab-lishment. For the purpose of the ‘‘sea-sonal farmworker’’ definition, farmlabor contractors and crew leaders arenot considered establishments; it is theorganizations to which they supply theworkers that are the establishments.

Farmwork means work performed forwages in agricultural production or ag-ricultural services in establishmentsincluded in industries 01—AgriculturalProduction-Crops; 02—AgriculturalProduction-Livestock excluding 027—Animal Specialties; 07—AgriculturalServices excluding 074—VeterinaryServices, 0752—Animal Speciality Serv-ices, and 078—Landscape and Horti-cultural Services, as defined in themost recent edition of the Standard In-dustrial Classification (SIC) Code defi-nitions.

Farmworker, see Agricultural worker.Full application means an application

for an applicant who has participatedin an application interview and whichincludes the applicant’s personal char-

acteristics, work history and an occu-pational classification and DOT code.

Hearing Officer means a Departmentof Labor Administrative Law Judge,designated to preside at DOL adminis-trative hearings.

Identification card (applicant identi-fication card) means a card given tothe applicant on which are recordedidentifying information and the datesof the applicant’s visits to the localemployment office.

Intrastate job order means a job orderdescribing one or more hard-to-fill jobopenings, which a local office uses torequest recruitment assistance fromother local offices within the State.

JS regulations means the Federal reg-ulations at 20 CFR parts 601–604, 620,621, and 651–658, and at 29 CFR parts 8,26, and 75.

Job bank means a computer assistedsystem which provides listings of cur-rent job openings in the area, on a reg-ular basis, for distribution to JS andWIN offices and to cooperating agen-cies.

Job development means the process ofsecuring a job interview with a publicor private employer for a specific appli-cant for whom the local office has nosuitable opening on file.

Job information means informationderived from data compiled in the nor-mal course of employment service ac-tivities from reports, job orders, appli-cations and the like.

Job opening means a single job oppor-tunity for which the local office has onfile a request to select and refer on ap-plicant or applicants.

Job Information Service (JIS) means aunit or an area within a JS local officewhere applicants primarily, on a self-service basis or with minimum profes-sional help, can obtain specific andgeneral information on where and howto get a job.

Job referral means (1) the act of bring-ing to the attention of an employer anapplicant or group of applicants whoare available for specific job openingsand (2) the record of such referral. ‘‘Jobreferral’’ means the same as ‘‘referralto a job.’’

Job Service (JS) means the nationwidesystem of public employment offices,funded through the United States Em-ployment Service (USES) as grantee


385


State agencies, and the various officesof the State agencies.

Labor market area means a geographicarea consisting of a central city (orcities) and the surrounding territorywithin a reasonable commuting dis-tance.

Labor Market Information (LMI)means that body of knowledge pertain-ing to the socio-economic forces influ-encing the employment process in spe-cific labor market areas. These forces,which affect labor demand-supply rela-tionships and define the content of theLMI program, include population andgrowth charcteristics, trends in indus-trial and occupational structure, tech-nological developments, shifts inconsumer demands, unionization, tradedisputes, retirement practices, wagelevels, conditions of employment,training opportunities, job vacancies,and job search information.

Local office manager means the JS of-ficial in charge of all JS activities in alocal office of a State agency.

LMI means labor market informa-tion.

Migrant farmworker is a seasonalfarmworker who had to travel to do thefarmwork so that he/she was unable toreturn to his/her permanent residencewithin the same day. Full-time stu-dents traveling in organized groupsrather than with their families are ex-cluded.

Migrant food processing worker meansa person who during the preceding 12months has worked at least an aggre-gate of 25 or more days or parts of daysin which some work was performed infood processing (as classified in the 1972Standard Industrial Classification(SIC) definitions 201, 2033, 2035, and 2037for food processing establishments),earned at least half of his/her earnedincome from processing work and wasnot employed in food processing yearround by the same employer, providedthat the food processing required trav-el such that the worker was unable toreturn to his/her permanent residencein the same day. Migrant food process-ing workers who are full-time studentsbut who travel in organized groupsrather than with their families are ex-cluded.

MSFW means a migrant farmworker,a migrant food processing worker, or aseasonal farmworker.

Partial application means the applica-tion of an applicant who has not par-ticipated in an application interviewand which does not include an occupa-tional classification of DOT code. Par-tial applications prepared for Migrantsand Seasonal Farmworkers must in-clude a signed waiver for full servicesat that time in accordance with 20 CFR653.103.

Placement means the hiring by a pub-lic or private employer of an individualreferred by the employment office for ajob or an interview, provided that theemployment office completed all of thefollowing steps:

(a) Prepared a job order form prior toreferral, except in the case of a job de-velopment contact on behalf of a spe-cific applicant;

(b) Made prior arrangements with theemployer for the referral of an individ-ual or individuals;

(c) Referred an individual who hadnot been specifically designated by theemployer, except for referrals on agri-cultural job orders for a specific crewleader or worker;

(d) Verified from a reliable source,preferably the employer, that the indi-vidual had entered on a job; and

(e) Appropriately recorded the place-ment.

Program Budget Plan (PBP) means theannual planning document for theSESA required by Sec. 8 of the Wagner-Peyser Act containing the SESA’s de-tailed planning, programming andbudget for carrying out employmentsecurity activities. For the purpose ofJS regulations, this definition shall berestricted to the employment serviceportion of the PBP.

Public housing means housing oper-ated by or on behalf of any public agen-cy.

RA; see Regional Administrator.Regional Administrator, Employment

and Training Administration (RA) meansthe chief DOL Employment and Train-ing Administration (ETA) official ineach DOL regional office.

Respondent means the employer orState agency (including a State agency


394

20 CFR Ch. V (4–1–97 Edition)§ 653.102

MSFWs and the availability of job andtraining opportunities.

(b) Each State agency shall assurethat, in a local area, the same local of-fices, including itinerant and satelliteoffices, but exclusive of day-haul oper-ations, offer services to both non-MSFWs and MSFWs. Separate farmlabor service local offices, which offeronly farmwork to agricultural workerswhile another local office serving thesame geographical area offers other JSservices to other applicants, are pro-hibited so that all applicants receiveemployment services on the samebasis.

§ 653.102 Job information.All State agencies shall make job

order information conspicuous andavailable to MSFWs in all local offices.This information shall include JobBank information in local officeswhere it is available. Such informationshall be made available either by com-puter terminal, microfiche, hard copy,or other equally effective means. Eachsignificant MSFW local office shallprovide adequate staff assistance toeach MSFW to use the job order infor-mation effectively. In those offices des-ignated as significant MSFW bilingualoffices, such assistance shall be pro-vided to MSFWs in Spanish and Eng-lish, wherever requested or necessary,during any period of substantial MSFWactivity.

§ 653.103 MSFW job applications.(a) Every local office shall determine

whether or not applicants are MSFWsas defined at § 651.10 of this chapter.

(b) Except as provided in § 653.105,when an MSFW applies for JS servicesat a local office or is contacted by anOutreach worker, the services avail-able through the JS shall be explainedto the MSFW. In local offices whichhave been designated as significantMSFW bilingual offices by ETA, thisexplanation shall be made in Spanish,if necessary or requested during anyperiod of substantial MSFW activity.Other local offices shall provide bilin-gual explanations wherever feasible.

(c) The local office staff membershall provide the MSFW a list of thoseservices. The list shall be written inEnglish and Spanish and shall specify

those services which are available aftercompletion of a full application andthose services which are available aftercompletion of a partial application.The JS staff member shall explain toeach MSFW the advantages of complet-ing a full application.

Applications shall be reviewed periodi-cally by the local office manager or amember of his/her staff to ensure theiraccuracy and quality. Applications andthe application-taking process shallalso be reviewed during State and Fed-eral onsite reviews by the State andRegional MSFW Monitor Advocatesand/or review staff, who shall checkoverall accuracy and quality, and offertechnical advice on corrections or im-provements.

(d) If the MSFW wishes to complete afull application, the staff shall provideall assistance necessary to completethe application and shall ensure thatthe form includes complete informa-tion. It shall include, to the extent pos-sible, the significant history of theMSFW’s prior employment, trainingand educational background and astatement of any desired employmentand any training needs in order to per-mit a thorough assessment of the ap-plicant’s skills, abilities and pref-erences. All applicable items shall becompleted according to the ETA in-structions for preparation of the appli-cation card (ES–511). Additional Dic-tionary of Occupational Titles codes orkeywords shall be assigned, where ap-propriate, based on the MSFW’s workhistory, training, and skills, knowl-edges, and abilities. Secondary cardsshall be completed and separately filedwhen keywords are not used. In ex-tremely small local offices where thelimited applicant load and file size doesnot require completion of secondarycards, additional D.O.T. codes shall benoted on the primary application card.

(e) If an MSFW wishes any JS serv-ice, and does not wish or is unable tofile a full application, the interviewershall try to obtain as much informa-tion as possible for a partial applica-tion. The interviewer shall enter theinformation on the partial application.The interviewer shall offer to refer theapplicant to any available jobs forwhich the MSFW may be qualified, and


531


South Dearborn Street, Room 605, Chi-cago, Illinois 60604. Telephone: 312–353–1550.

Region VI (Arkansas, Louisiana, NewMexico, Oklahoma, and Texas): 525Griffin Street, Room 311, Dallas, Texas75202. Telephone: 214–767–4989.

Region VII (Iowa, Kansas, Missouri,and Nebraska): 1100 Main, Rm. 1050,Kansas City, Missouri 64105. Telephone:816–426–3796.

Region VIII (Colorado, Montana,North Dakota, South Dakota, Utah,and Wyoming): 1999 Broadway, Rm.1780, Denver, Colorado 80202. Tele-phone: 303–391–5742.

Region IX (Arizona, California,Guam, Hawaii, and Nevada): 71 Steven-son Street, Room 805, San Francisco,California 94105. Telephone: 415–744–7618.

Region X (Alaska, Idaho, Oregon, andWashington): 1111 Third Avenue, Suite900, Seattle, Washington 98101–3212.Telephone: 206–553–7700.

§ 655.730 Labor condition application.(a) Who must submit labor condition ap-

plications? An employer, or the employ-er’s authorized agent or representative,which meets the definition of employerset forth in § 655.715 of this part and in-tends to employ an H–1B non-immigrant in a specialty occupation oras a fashion model of distinguishedmerit and ability shall submit a laborcondition application to DOL. Attor-neys and agents submitting applica-tions on an employer’s behalf shall sub-mit, also, a completed INS Form G–28.

(b) Where and when should a labor con-dition application be submitted? A laborcondition application shall be submit-ted, by U.S. mail, private carrier, orfacsimile transmission, to the ETA re-gional office shown in § 655.720 of thispart in whose geographic area of juris-diction the H–1B nonimmigrant will beemployed no earlier than six monthsbefore the beginning date of the periodof intended employment shown on theLCA. It is the employer’s responsibilityto ensure that a complete and accurateapplication is received by the appro-priate regional office of ETA. Incom-plete or obviously inaccurate applica-tions will not be certified. The regionaloffice shall process all applications se-quentially upon receipt regardless of

the method used by the employer tosubmit the application and shall makea determination to certify or not cer-tify the labor condition applicationwithin 7 working days of the date theapplication is received and date-stamped by the Department. If the ap-plication is submitted by facsimiletransmission, the application contain-ing the original signature shall bemaintained by the employer as setforth at § 655.760(a)(1) of this part.

(c) What should be submitted? FormETA 9035.

(1) General. One completed and datedoriginal Form ETA 9035 containing thelabor condition statements referencedin §§ 655.731 through 655.734 of this part,bearing the employer’s original signa-ture (or that of the employer’s author-ized agent or representative) and onecopy of the completed and dated origi-nal Form ETA 9035 shall be submittedto ETA (see paragraph (b) of this sec-tion and § 655.760(a)(1) of this part withrespect to applications filed by fac-simile transmission). Copies of FormETA 9035 are available at the addresseslisted in § 655.720 of this part; photo-copies of the form (obtained from anysource) also are permitted. Each appli-cation shall identify the occupationalclassification for which the labor con-dition application is being submittedand shall state:

(i) The occupation, by Dictionary ofOccupational Titles (DOT) Three-DigitOccupational Groups code and by theemployer’s own title for the job;

(ii) The number of H–1B non-immigrants sought;

(iii) The gross wage rate to be paid toeach H–1B nonimmigrant, expressed onan hourly, weekly, biweekly, monthlyor annual basis;

(iv) The starting and ending dates ofthe H–1B nonimmigrants’ employment;

(v) The place(s) of intended employ-ment; and

(vi) The prevailing wage for the occu-pation in the area of intended employ-ment and the specific source (e.g.,name of published survey) relied uponby the employer to determine thewage. If the wage is obtained from aSESA, the appropriate box must bechecked and the wage provided; wagesobtained from a source other than a


560

20 CFR Ch. V (4–1–97 Edition)§ 655.930

employed in the geographic area of in-tended employment.

Secretary means the Secretary ofLabor or the Secretary’s designee.

United States is defined at 8 U.S.C.1101(a)(38).

United States (U.S.) worker means anyU.S. citizen or alien who is legally per-mitted to work indefinitely within theUnited States.

§ 655.930 Addresses of Department ofLabor regional offices.

Region I (Connecticut, Maine, Massachu-setts, New Hampshire, Rhode Island, andVermont): One Congress Street 10th Floor,Boston, MA 02114–2021. Telephone: 617–565–4446.

Region II (New York, New Jersey, PuertoRico, and the Virgin Islands): 201 VarickStreet, room 755, New York, NY 10014. Tele-phone: 212–660–2185.

Region III (Delaware, District of Columbia,Maryland, Pennsylvania, Virginia, and WestVirginia): Post Office Box 8796, Philadelphia,PA 19101. Telephone: 215–596–6363.

Region IV (Alabama, Florida, Georgia,Kentucky, Mississippi, North Carolina,South Carolina, and Tennessee): 1371 Peach-tree Street, NE., Atlanta, GA 30309. Tele-phone: 404–347–3938.

Region V (Illinois, Indiana, Michigan, Min-nesota, Ohio, and Wisconsin): 230 SouthDearborn Street, room 605, Chicago, IL 60604.Telephone: 312–353–1550.

Region VI (Arkansas, Louisiana, New Mex-ico, Oklahoma, and Texas): 525 GriffinStreet, room 314, Dallas, TX 75202. Tele-phone: 214–767–4989.

Region VII (Iowa, Kansas, Missouri, andNebraska) 911 Walnut Street, Kansas City,MO 64106. Telephone: 816–426–3796.

Region VIII (Colorado, Montana, North Da-kota, South Dakota, Utah, and Wyoming)1961 Stout Street, 16th Floor, Denver, CO80294. Telephone: 303–844–4613.

Region IX (Arizona, California, Guam, Ha-waii, and Nevada) 71 Stevenson Street, room830, San Francisco, CA 94119. Telephone: 415–744–6647.

Region X (Alaska, Idaho, Oregon, andWashington) 1111 Third Avenue, room 900,Seattle, WA 98101. Telephone: 206–553–5297.

The telephone numbers set forth inthis section are not toll-free.

§ 655.940 Employer attestations.(a) Who may submit attestations? An

employer (or the employer’s designatedagent or representative) seeking to em-ploy F–1 student(s) for off-campus workshall submit an attestation on FormETA–9034. The attestation shall be

signed by the employer (or the employ-er’s designated agent or representa-tive). For this purpose, the employer’sauthorized agent or representativeshall mean an official of the employerwho has the legal authority to committhe employer to the terms and condi-tions of F–1 student attestations.

(b) Where and when should attestationsbe submitted? (1) Attestations shall besubmitted, by U.S. mail, private car-rier, or facsimile transmission, to theappropriate ETA Regional office, as de-fined in § 655.920 of this part, not laterthan 60 days after the employer’s re-cruitment period (see paragraph (d) ofthis section) has ended and shall be ac-cepted for filing, returned, or rejectedby ETA in accordance with paragraph(f) of this section.

(2) Attestations shall also be submit-ted to the Designated School Official(DSO) at each educational institutionfrom which the employer seeks to hireany F–1 student(s). Attestations maybe filed simultaneously with ETA andthe DSO, or the employer may file theapproved attestation with the DSO.However, in no case shall the employerfile the attestation with the DSO be-fore filing the attestation with ETA orin the absence of filing the attestationwith ETA.

(3) If the attestation is submitted si-multaneously with ETA and the DSO,and ETA does not receive its copy ofthe attestation, the Administrator, forpurposes of enforcement proceedingsunder subpart K of this part, shall con-sider that the attestation was acceptedfor filing by ETA as of the date the at-testation is received by the DSO.

(c) What should be submitted? (1) FormETA–9034. One completed and datedoriginal Form ETA–9034 (or a fac-simile), containing the attestation ele-ments referenced in paragraphs (d) and(e) of this section, and the original sig-nature (or a facsimile of the originalsignature) of the employer (or the em-ployer’s authorized agent or represent-ative) and one copy of Form ETA–9034shall be submitted to ETA. Each attes-tation form shall identify the posi-tion(s) for which the attestation is pro-vided, state the occupational divisionin which the position is located, byDictionary of Occupational Titles


561


(DOT) Two-Digit Occupational Divi-sions code, and shall state the rate(s)of pay for the position(s). The DOTTwo-Digit Occupational Division codeis required for DOL recordkeeping andreporting purposes only and should notbe used by the employer to determinethe prevailing wage, as it is too generalfor this purpose. (Copies of Form ETA–9034 are available at the addresses list-ed in § 655.930 of this part). When anemployer has filed an attestation byfacsimile transmission, the employershall retain in its files the original ofthe attestation which contains the em-ployer’s original signature.

(2) The employer may file an attesta-tion for a single position or for mul-tiple positions in the same occupation,or in multiple occupations, providedthat all positions are located withinthe same geographic area of intendedemployment.

(3) If the employer files the attesta-tion simultaneously with ETA and theDSO, or files the attestation first withETA and subsequently files with theDSO before an accepted copy is re-turned from ETA to the employer, theemployer shall, within fifteen days ofreceipt of ETA’s notification of accept-ance of the attestation for filing, pro-vide an exact copy of the accepted at-testation to the DSO at each edu-cational institution from which theemployer seeks to employ an F–1 stu-dent. The DSO shall notify ETA if theeducational institution has not beenprovided with a copy of the attestationindicating that it was accepted for fil-ing by ETA within 90 days from thedate that the attestation was filed withthe DSO.

(4) Attestation Elements. The attesta-tion elements referenced in § 655.940 (d)and (e) of this section are mandated bysection 221(a)(2) of the Act (8 U.S.C.1184 note). Section 221(a)(2) of the Actprovides that one of the conditions forthe Attorney General to grant F–1 stu-dents work authorization, as describedin INA section 101(a)(15)(F), to be em-ployed off-campus in positions unre-lated to their field of study, is that theemployer provides the educational in-stitution and the Secretary with an at-testation that the employer:

(i) Has recruited for at least 60 daysfor the position; and

(ii) Will pay the F–1 student and allother similarly situated workers at arate not less than the ‘‘required wagerate’’ (see § 655.920 of this part).

(d) The first attestation element: 60-dayrecruitment. An employer seeking toemploy an F–1 student shall attest onForm ETA–9034 that it has recruitedfor at least 60 days for the position(s)and that a sufficient number of U.S.workers were not able, qualified, andavailable for the position(s).

(1) Establishing the 60-day recruitmentrequirement. (i) The first attestationelement is demonstrated if the em-ployer attests that:

(A) It has recruited unsuccessfullyfor U.S. workers for at least 60 days forthe position prior to filing the attesta-tion; and

(B) It will conduct at least 60 days ofunsuccessful recruitment for U.S.workers for each position in which, andat each time at which (until September30, 1996), an F–1 student is subsequentlyemployed.

(ii) To satisfy paragraph (d)(1)(i)(A)of this section, the employer shall re-cruit for the position for 60 consecutivedays by posting the job vacancy (orhelp wanted) notice at the worksiteand by placing a job order with theState Employment Service agency(SESA) local office which services theworksite.

(iii) To satisfy paragraph (d)(1)(i)(B)of this section, the employer shall ei-ther:

(A) Recruit for each position vacancyin the manner required by paragraph(d)(1)(ii) of this section; or

(B) File an ‘‘open job order’’ with theSESA local office which services theworksite. The employer shall acceptreferrals from the SESA local office onthe ‘‘open job order’’.

(2) Documenting the first attestationelement. In the event of an investiga-tion, the employer shall have the bur-den of proving that it has compliedwith the elements described in para-graph (d)(1) of this section and attestedto on ETA Form 9034. Documentationthat is truthful, accurate and substan-tiates compliance as identified in Ap-pendix A to this subpart shall be suffi-cient to meet the employer’s burden ofproof. The employer retains the rightto meet its burden of proof in proving


20 CFR 656

Department of Labor

Employment and Training Administration, Labor

counsel of persons requiring nursing care; andadministering of medicines and treatments prescribedby the physician or dentist; the participation Inactivities for the promotion of health and theprevention of illness in others. A program of study forprofessional nurses generally includes theory andpractice in clinical areas such as: obstetrics, surgery,pediatrics, psychiatry. and medicine. This definitionincludes only those occupations within OccupationalGroup No. 075 of the Dictionary of OccupationalTitle (4th ed.)

Regional Administrator, Employment and TrainingAdministration (RA) means the chief official of theEmployment and Training Administration (ETA) in aDepartment of Labor (DOL) regional office.

Schedule A means the list of occupations set forthat §656.10, with respect to which the Director hasdetermined that there are not sufficient United Statesworkers who are able, willing, qualified and available,and that the employment of aliens in such occupationswill not adversely affect the wages and workingconditions of United States workers similarlyemployed.

Schedule B means the list of occupations set forthin §656.11. with respect to which the Director hasdetermined that there are generally sufficient UnitedStates workers who are able, willing, qualified andavailable, and that the employment of aliens in suchoccupations will generally adversely affect the wagesand working conditions of the United States workerssimilarly employed.

Secretary means the Secretary of Labor, the chiefofficial of the U.S. Department of Labor, or theSecretary's designee.

Secretary of State means the chief official of theU.S. Department of State or the Secretary of State'sdesignee.

United States, when used in a geographic sense,means the fifty States, the District of Columbia,Puerto Rico, the U.S. Virgin Islands, and Guam.

United States Employment Service (USES) meansthe agency of the U.S. Department of Labor,established under the Wagner-Peyser Act (29 U.S.C.49 et seq.), which is charged with administering thenational system of public employment offices (theEmployment Service (ES) System) and with carryingout the functions of the Secretary under section212(a)(14) of the Immigration and Nationality Act (8U.S.C. 1182(a)(14)).

United States worker means anyworker who is a U.S. citizen: is aU.S. national: is lawfully admitted for permanentresidence; is granted the status of an alien lawfullyadmitted for permanent residence under 8 U.S.C.1160(a), 1161(a), or 1255a(a)(1); Is admitted as arefugee under 8 U.S.C. 1157; or is granted asylumunder 8 U.S.C. 1158.145 FR 83933, Dec. 19. 1980. as amended at 52 FR11219. Apr. 8. 1987; 52 FR 20596. June 2. 1987; 56FR 549.30. Oct. 23. 1991. Redesignated and amendedat 56 FR 54930. Oct. 23.1991]

Subpart B-Occupational LaborCertification Determinations

§656.10 ScheduleA.The Director, United States Employment Service

(Director). has determined that there are. notsufficient United States workers who are able. willing,qualified, and available for the occupations listedbelow on Schedule A and that the wages and workingconditions of United States workers similarlyemployed will not be adversely affected by theemployment of aliens in Schedule A occupations. Analien seeking a labor certification for an occupationlisted on Schedule A may apply for that laborcertification pursuant to §656.22.

SCHEDULE A

(a) Group I:(1) Persons who will be employed as physical

therapists, and who possess all the qualificationsnecessary to take the physical therapist licensingexamination in the State in which they propose topractice physical therapy.

(2) Aliens who will be employed as professionalnurses: and (i) who have passed the. Commission onGraduates of Foreign Nursing Schools (CGFNS)Examination; or (ii) who hold a full and unrestrictedlicense to practice professional nursing in the State ofintended employment.(3) Definitions of Group I occupations:

(i) "Physical therapist" means a person who appliesthe art and science of physical therapy to thetreatment of patients with disabilities. disorders andinjuries to relieve pain. develop or restore function.and maintain performance, using physical means

577

§656.10

586

20 CFR Ch. V (4–1–97 Edition)§ 656.21

translation, and as to the translator’scompetency to translate.

(b) Except for labor certification ap-plications involving occupations des-ignated for special handling (see§ 656.21a) and Schedule A occupations(see §§ 656.10 and 656.22), the employershall submit, as a part of every laborcertification application, on the Appli-cation for Alien Employment Certificationform or in attachments, as appropriate,the following clear documentation:

(1) If the employer has attempted torecruit U.S. workers prior to filing theapplication for certification, the em-ployer shall document the employer’sreasonable good faith efforts to recruitU.S. workers without success throughthe Employment Service System and/or through other labor referral and re-cruitment sources normal to the occu-pation:

(i) this documentation shall includedocumentation of the employer’s re-cruitment efforts for the job oppor-tunity which shall:

(A) List the sources the employermay have used for recruitment, includ-ing, but not limited to, advertising;public and/or private employmentagencies; colleges or universities; voca-tional, trade, or technical schools;labor unions; and/or development orpromotion from within the employer’sorganization;

(B) Identify each recruitment sourceby name;

(C) Give the number of U.S. workersresponding to the employer’s recruit-ment;

(D) Give the number of interviewsconducted with U.S. workers;

(E) Specify the lawful job-relatedreasons for not hiring each U.S. workerinterviewed; and

(F) Specify the wages and workingconditions offered to the U.S. workers;and

(ii) If the employer advertised the jobopportunity prior to filing the applica-tion for certification, the employershall include also a copy of at least onesuch advertisement.

(2) The employer shall document thatthe job opportunity has been and isbeing described without unduly restric-tive job requirements:

(i) The job opportunity’s require-ments, unless adequately documentedas arising from business necessity:

(A) Shall be those normally requiredfor the job in the United States;

(B) Shall be those defined for the jobin the Dictionary of Occupational Titles(D.O.T.) including those for subclassesof jobs;

(C) Shall not include requirementsfor a language other than English.

(ii) If the job opportunity involves acombination of duties, for example en-gineer-pilot, the employer must docu-ment that it has normally employedpersons for that combination of dutiesand/or workers customarily performthe combination of duties in the areaof intended employment, and or thecombination job opportunity is basedon a business necessity.

(iii) If the job opportunity involves arequirement that the worker live onthe employer’s premises, the employershall document adequately that the re-quirement is a business necessity.

(iv) If the job opportunity has been oris being described with an employerpreference, the employer preferenceshall be deemed to be a job require-ment for purposes of this paragraph(b)(2).

(3) The employer shall document thatits other efforts to locate and employU.S. workers for the job opportunity,such as recruitment efforts by meansof private employment agencies, laborunions, advertisements placed withradio or TV stations, recruitment attrade schools, colleges, and universitiesor attempts to fill the job opportunityby development or promotion fromamong its present employees, havebeen and continue to be unsuccessful.Such efforts may be required after thefiling of an application if appropriateto the occupation.

(4) If unions are customarily used asa recruitment source in the area or in-dustry, the employer shall documentthat they were unable to refer U.S.workers.

(5) The employer shall document thatits requirements for the job oppor-tunity, as described, represent the em-ployer’s actual minimum requirementsfor the job opportunity, and the em-ployer has not hired workers with lesstraining or experience for jobs similar


216

22 CFR Ch. I (4–1–97 Edition)§ 42.33

INA 203(b)(4) as a special immigrantqualified under this section, if not oth-erwise entitled to an immigrant statusand the immediate issuance of a visa,is entitled to a derivative status cor-responding to the classification andpriority date of the beneficiary of thepetition.

(4) Spouse and children of certain for-eign medical graduates. The accompany-ing spouse and children of a graduateof a foreign medical school or of a per-son qualified to practice medicine in aforeign state who has adjusted statusas a special immigrant under the provi-sions of INA 101(a)(27)(H) are classifi-able under INA 203(b)(4) as special im-migrants defined in INA 101(a)(27)(H) ifthe consular officer has received an ap-proved petition from INS which ac-cords such status and the consular offi-cer is satisfied that the alien is withinthe class described in INA 101(a)(27)(H).

(5) Certain International Organizationemployees—(i) Entitlement to status. Analien is classifiable under INA 203(b)(4)as a special immigrant described inINA 101(a)(27)(I) if the consular officerhas received a petition approved by theINS to accord such classification or of-ficial notification of such approval, andthe consular officer is satisfied fromthe evidence presented that the alien iswithin one of the classes described inthat section.

(ii) Timeliness of application. An alienaccorded status under INA 203(b)(4) be-cause of qualification under INA101(a)(27)(I) must appear for a final visainterview and issuance of the immi-grant visa within six months of estab-lishing entitlement to status.

(6) Certain juvenile court dependents.An alien shall be classifiable under INA203(b)(4) as a special immigrant definedin INA 101(a)(27)(J) if the consular offi-cer has received from INS an approvedpetition to accord such status, or an of-ficial notification of such an approval,and the consular officer is satisfied thealien is within the class described inthat section.

(7) Certain members of the United StatesArmed Forces recruited abroad—(i) Enti-tlement to status. An alien is classifiableunder INA 203(b)(4) as a special immi-grant described in INA 101(a)(27)(K) ifthe consular office has received a peti-tion approved by the INS to accord

such classification, or official notifica-tion of such an approval, and the con-sular officer is satisfied from the evi-dence presented that the alien is with-in the class described in INA101(a)(27)(K).

(ii) Entitlement to derivative status.Pursuant to INA 203(d), and whether ornot named in the petition, the spouseor child of any alien classified underINA 203(b)(4) as a special immigrantqualified under this section, if not oth-erwise entitled to an immigrant statusand the immediate issuance of a visa,is entitled to a derivative status cor-responding to the classification andpriority date of the beneficiary of thepetition.

(e) Fifth preference—Employment-cre-ation immigrants—(1) Entitlement to sta-tus. An alien shall be classifiable as afifth preference employment-creationimmigrant if the consular officer hasreceived from INS an approved petitionto accord such status, or official notifi-cation of such an approval, and theconsular officer is satisfied that thealien is within the class described inINA 203(b)(5).

(2) Entitlement to derivative status.Pursuant to INA 203(d), and whether ornot named in the petition, the spouseor child of an employment-based fifthpreference immigrant, if not otherwiseentitled to an immigrant status andthe immediate issuance of a visa, is en-titled to a derivative status cor-responding to the classification andpriority date of the beneficiary of thepetition.

[56 FR 49676, Oct. 1, 1991, as amended at 56 FR51172, Oct. 10, 1991; 56 FR 55077, Oct. 24, 1991;60 FR 35839, July 12, 1995]

§ 42.33 Diversity immigrants.(a) General—(1) Eligibility to compete

for consideration under section 203(c). Analien shall be eligible to compete forconsideration for visa issuance underINA 203(c) during a fiscal year only ifhe or she is a native of a low-admissionforeign state, as determined by the At-torney General pursuant to INA203(c)(1)(E)(i), with respect to the fiscalyear in question; and if he or she has atleast a high school education or itsequivalent or, within the five yearspreceding the date of application for avisa, has two years of work experience


217

Department of State § 42.33

in an occupation requiring at least twoyears training or experience.

(2) Definition of high school educationor its equivalent. For the purposes ofthis section, the phrase high school edu-cation or its equivalent shall mean suc-cessful completion of a twelve-yearcourse of elementary and secondaryeducation in the United States or suc-cessful completion in another countryof a formal course of elementary andsecondary education comparable tocompletion of twelve years’ elementaryand secondary education in the UnitedStates.

(3) Determinations of work experience.The most recent edition of the Diction-ary of Occupational Titles published bythe Employment and Training Admin-istration, United States Department ofLabor, shall be controlling in deter-mining whether a particular occupa-tion is one ‘‘which requires at least 2years of training or experience’’ as pro-vided in INA 203(c)(2).

(4) Limitation on number of petitionsper year. No more than one petitionmay be submitted by, or on behalf of,any alien for consideration during anysingle fiscal year. If two or more peti-tions for any single fiscal year are sub-mitted by, or on behalf of, any alien,all such petitions shall be void and thealien by or for whom submitted shallnot be eligible for consideration forvisa issuance during the fiscal year inquestion.

(5) Northern Ireland. For purposes ofdetermining eligibility to file a peti-tion for consideration under INA 203(c)for a fiscal year, the districts compris-ing that portion of the United Kingdomof Great Britain and Northern Ireland,known as ‘‘Northern Ireland’’, shall betreated as a separate foreign state. Thedistricts comprising ‘‘Northern Ire-land’’ are Antrim, Ards, Armagh,Ballymena, Ballymoney, Banbridge,Belfast, Carrickfergus, Castlereagh,Coleraine, Cookstown, Craigavon,Down, Dungannon, Fermanagh, Larne,Limavady, Lisburn, Londonderry,Magherafelt, Moyle, Newry andMourne, Newtownabbey, North Down,Omagh, and Strabane.

(b) Petition for consideration—(1) Formof petition. An alien claiming to be en-titled to compete for considerationunder INA 203(c) shall file a petition for

such consideration. The petition shallconsist of a sheet of paper on whichshall be typed or legibly printed in theRoman alphabet the petitioner’s name;date and place of birth (including cityand country, province or other politi-cal subdivision of the country); thecountry of which the alien claims to bea native, if other than the country ofbirth; name[s] and date[s] and place[s]of birth of spouse and child[ren], if any;a current mailing address; and locationof consular office nearest to currentresidence or, if in the United States,nearest to last foreign residence priorto entry into the United States. Thealien shall sign his or her signature onthe sheet of paper, using his or herusual signature. The alien shall alsoaffix to the sheet of paper a recent pho-tograph of himself or herself. The pho-tograph shall be 11⁄2 inches square(37mm × 37mm) and the alien shallclearly print his or her name in theRoman alphabet on the reverse of thephotograph before affixing the photo-graph to the sheet of paper.

(2) Submission of petition—(i) General.A petition for consideration for visa is-suance under INA 203(c) shall be sub-mitted by mail to the address des-ignated by the Department for thatpurpose. The Department shall estab-lish a period of not less than thirtydays during each fiscal year duringwhich petitions for consideration dur-ing the next following fiscal year maybe submitted. Each fiscal year, the De-partment shall give timely notice ofboth the mailing address and the exactdates of the application period,through publication in the FEDERALREGISTER and such other methods aswill ensure the widest possible dissemi-nation of the information, both abroadand within the United States.

(ii) Form of mailing. Petitions for con-sideration under this section shall besubmitted by normal surface or airmail only. Petitions submitted byhand, telegram, FAX, or by any meansrequiring any form of special handlingor acknowledgement of receipt will notbe given consideration. The petitionershall type or print legibly, using theRoman alphabet, on the upper left-hand corner of the envelope in whichthe petition is mailed his or her fullname and mailing address, and the


43

Department of Justice § 50.14

outside the receiving departments, re-lated agencies, or other authorized en-tities. Officials at the governmental in-stitutions and other entities author-ized to submit fingerprints and receiveFBI identification records under thisauthority must notify the individualsfingerprinted that the fingerprints willbe used to check the criminal historyrecords of the FBI. The officials mak-ing the determination of suitability forlicensing or employment shall providethe applicants the opportunity to com-plete, or challenge the accuracy of, theinformation contained in the FBI iden-tification record. These officials shouldnot deny the license or employmentbased on information in the recorduntil the applicant has been afforded areasonable time to correct or completethe record, or has declined to do so.Those officials making such determina-tions must advise the applicants thatprocedures for obtaining a change, cor-recting, or updating of an FBI identi-fication record are set forth in 28 CFR16.34. A statement incorporating theseuse-and-challenge requirements will beplaced on all records disseminatedunder this program. This policy is in-tended to ensure that all relevantcriminal record information is madeavailable to provide for the public safe-ty and further, to protect the interestsof the prospective employee/licenseewho may be affected by the informa-tion or lack of information in an iden-tification record.

(c) There will be no change in FBIIdentification Division procedures fordissemination of all criminal record in-formation for criminal justice purposesand to agencies of the Federal Govern-ment as currently authorized by 28U.S.C. 534.

[Order No. 1438–90, 55 FR 32075, Aug. 7, 1990]

§ 50.14 Guidelines on employee selec-tion procedures.

The guidelines set forth below are in-tended as a statement of policy of theDepartment of Justice and will be ap-plied by the Department in exercisingits responsibilities under Federal lawrelating to equal employment oppor-tunity.

UNIFORM GUIDELINES ON EMPLOYEESELECTION PROCEDURES (1978)

NOTE: These guidelines are issued jointlyby four agencies. Separate official adoptionsfollow the guidelines in this part IV as fol-lows: Civil Service Commission, Departmentof Justice, Equal Employment OpportunityCommission, Department of Labor.

For official citation see section 18 of theseguidelines.

TABLE OF CONTENTS

GENERAL PRINCIPLES

1. Statement of PurposeA. Need for Uniformity—Issuing AgenciesB. Purpose of GuidelinesC. Relation to Prior Guidelines

2. ScopeA. Application of GuidelinesB. Employment DecisionsC. Selection ProceduresD. LimitationsE. Indian Preference Not Affected

3. Discrimination Defined: Relationship Be-tween Use of Selection Procedures andDiscrimination

A. Procedure Having Adverse Impact Con-stitutes Discrimination Unless Justi-fied

B. Consideration of Suitable AlternativeSelection Procedures

4. Information on ImpactA. Records Concerning ImpactB. Applicable Race, Sex and Ethnic Groups

For Record KeepingC. Evaluation of Selection Rates. The

‘‘Bottom Line’’D. Adverse Impact And The ‘‘Four-Fifths

Rule’’E. Consideration of User’s Equal Employ-

ment Opportunity Posture5. General Standards for Validity Studies

A. Acceptable types of Validity StudiesB. Criterion-Related, Content, and Con-

struct ValidityC. Guidelines Are Consistent with Profes-

sional StandardsD. Need For Documentation of ValidityE. Accuracy and StandardizationF. Caution Against Selection on Basis of

Knowledges, Skills or AbilitiesLearned in Brief Orientation Period

G. Method of Use of Selection ProceduresH. Cutoff ScoresI. Use of Selection Procedures for Higher

Level JobsJ. Interim Use of Selection ProceduresK. Review of Validity Studies for Cur-

rency6. Use of Selection Procedures Which Have

Not Been ValidatedA. Use of Alternate Selection Procedures

to Eliminate Adverse ImpactB. Where Validity Studies Cannot or Need

Not Be Performed

VerDate 22-AUG-97 17:15 Sep 04, 1997 Jkt 174099 PO 00000 Frm 00043 Fmt 8010 Sfmt 8010 E:\CFR\174099.011 174099

44

28 CFR Ch. I (7-1-97 Edition)§ 50.14

(1) Where Informal or Unscored Proce-dures Are Used

(2) Where Formal And Scored ProceduresAre Used

7. Use of Other Validity StudiesA. Validity Studies not Conducted by the

UserB. Use of Criterion-Related Validity Evi-

dence from Other Sources(1) Validity Evidence(2) Job Similarity(3) Fairness Evidence

C. Validity Evidence from Multi-UnitStudy

D. Other Significant Variables8. Cooperative Studies

A. Encouragement of Cooperative StudiesB. Standards for Use of Cooperative Stud-

ies9. No Assumption of Validity

A. Unacceptable Substitutes for Evidenceof Validity

B. Encouragement of Professional Super-vision

10. Employment Agencies and EmploymentServices

A. Where Selection Procedures Are Devisedby Agency

B. Where Selection Procedures Are DevisedElsewhere

11. Disparate Treatment12. Retesting of Applicants13. Affirmative Action

A. Affirmative Action ObligationsB. Encouragement of Voluntary Affirma-

tive Action Programs

TECHNICAL STANDARDS

14. Technical Standards for Validity StudiesA. Validity Studies Should be Based on Re-

view of Information about the JobB. Technical Standards for Criterion-Re-

lated Validity Studies(1) Technical Feasibility(2) Analysis of the Job(3) Criterion Measures(4) Representativeness of the Sample(5) Statistical Relationships(6) Operational Use of Selection Proce-

dures(7) Over-Statement of Validity Findings(8) Fairness

(a) Unfairness Defined(b) Investigation of Fairness(c) General Considerations in Fairness

Investigations(d) When Unfairness Is Shown(e) Technical Feasibility of Fairness

Studies(f) Continued Use of Selection Proce-

dures When Fairness Studies not Fea-sible

C. Technical Standards for Content Valid-ity Studies

(1) Appropriateness of Content ValidityStudies

(2) Job Analysis for Content Validity

(3) Development of Selection Procedure(4) Standards For Demonstrating Con-

tent Validity(5) Reliability(6) Prior Training or Experience(7) Training Success(8) Operational Use(9) Ranking Based on Content Validity

StudiesD. Technical Standards For Construct Va-

lidity Studies(1) Appropriateness of Construct Validity

Studies(2) Job Analysis For Construct Validity

Studies(3) Relationship to the Job(4) Use of Construct Validity Study With-

out New Criterion-Related Evidence(a) Standards for Use(b) Determination of Common Work

Behaviors

DOCUMENTATION OF IMPACT AND VALIDITYEVIDENCE

15. Documentation of Impact and ValidityEvidence

A. Required Information(1) Simplified Recordkeeping for Users

With Less Than 100 Employees(2) Information on Impact

(a) Collection of Information on Impact(b) When Adverse Impact Has Been

Eliminated in The Total Selection Proc-ess

(c) When Data Insufficient to Deter-mine Impact(3) Documentation of Validity Evidence

(a) Type of Evidence(b) Form of Report(c) Completeness

B. Criterion-Related Validity Studies(1) User(s), Location(s), and Date(s) of

Study(2) Problem and Setting(3) Job Analysis or Review of Job Infor-

mation(4) Job Titles and Codes(5) Criterion Measures(6) Sample Description(7) Description of Selection Procedure(8) Techniques and Results(9) Alternative Procedures Investigated(10) Uses and Applications(11) Source Data(12) Contact Person(13) Accuracy and Completeness

C. Content Validity Studies(1) User(s), Location(s), and Date(s) of

Study(2) Problem and Setting(3) Job Analysis—Content of the Job(4) Selection Procedure and its Content(5) Relationship Between Selection Pro-

cedure and the Job(6) Alternative Procedures Investigated(7) Uses and Applications(8) Contact Person


45


(9) Accuracy and CompletenessD. Construct Validity Studies

(1) User(s), Location(s), and Date(s) ofStudy

(2) Problem and Setting(3) Construct Definition(4) Job Analysis(5) Job Titles and Codes(6) Selection Procedure(7) Relationship to Job Performance(8) Alternative Procedures Investigated(9) Uses and Applications(10) Accuracy and Completeness(11) Source Data(12) Contact Person

E. Evidence of Validity from Other Studies(1) Evidence from Criterion-Related Va-

lidity Studies(a) Job Information(b) Relevance of Criteria(c) Other Variables(d) Use of the Selection Procedure(e) Bibliography

(2) Evidence from Content Validity Stud-ies

(3) Evidence from Construct ValidityStudiesF. Evidence of Validity from Cooperative

StudiesG. Selection for Higher Level JobsH. Interim Use of Selection Procedures

DEFINITIONS

16. Definitions

APPENDIX

17. Policy Statement on Affirmative Action(see Section 13B)

18. Citations

GENERAL PRINCIPLES

SECTION 1. Statement of purpose—A. Need foruniformity—Issuing agencies. The Federal gov-ernment’s need for a uniform set of prin-ciples on the question of the use of tests andother selection procedures has long been rec-ognized. The Equal Employment Oppor-tunity Commission, the Civil Service Com-mission, the Department of Labor, and theDepartment of Justice jointly have adoptedthese uniform guidelines to meet that need,and to apply the same principles to the Fed-eral Government as are applied to other em-ployers.

B. Purpose of guidelines. These guidelinesincorporate a single set of principles whichare designed to assist employers, labor orga-nizations, employment agencies, and licens-ing and certification boards to comply withrequirements of Federal law prohibiting em-ployment practices which discriminate ongrounds of race, color, religion, sex, and na-tional origin. They are designed to provide aframework for determining the proper use oftests and other selection procedures. Theseguidelines do not require a user to conduct

validity studies of selection procedureswhere no adverse impact results. However,all users are encouraged to use selection pro-cedures which are valid, especially users op-erating under merit principles.

C. Relation to prior guidelines. These guide-lines are based upon and supersede pre-viously issued guidelines on employee selec-tion procedures. These guidelines have beenbuilt upon court decisions, the previously is-sued guidelines of the agencies, and the prac-tical experience of the agencies, as well asthe standards of the psychological profes-sion. These guidelines are intended to beconsistent with existing law.

SEC. 2. Scope—A. Application of guidelines.These guidelines will be applied by the EqualEmployment Opportunity Commission in theenforcement of title VII of the Civil RightsAct of 1964, as amended by the Equal Em-ployment Opportunity Act of 1972 (herein-after ‘‘Title VII’’); by the Department ofLabor, and the contract compliance agenciesuntil the transfer of authority contemplatedby the President’s Reorganization Plan No. 1of 1978, in the administration and enforce-ment of Executive Order 11246, as amendedby Executive Order 11375 (hereinafter ‘‘Exec-utive Order 11246’’); by the Civil ServiceCommission and other Federal agencies sub-ject to section 717 of title VII; by the CivilService Commission in exercising its respon-sibilities toward State and local govern-ments under section 208(b)(1) of the Intergov-ernmental-Personnel Act; by the Depart-ment of Justice in exercising its responsibil-ities under Federal law; by the Office of Rev-enue Sharing of the Department of theTreasury under the State and Local FiscalAssistance Act of 1972, as amended; and byany other Federal agency which adoptsthem.

B. Employment decisions. These guidelinesapply to tests and other selection procedureswhich are used as a basis for any employ-ment decision. Employment decisions in-clude but are not limited to hiring, pro-motion, demotion, membership (for example,in a labor organization), referral, retention,and licensing and certification, to the extentthat licensing and certification may be cov-ered by Federal equal employment oppor-tunity law. Other selection decisions, such asselection for training or transfer, may alsobe considered employment decisions if theylead to any of the decisions listed above.

C. Selection procedures. These guidelinesapply only to selection procedures which areused as a basis for making employment deci-sions. For example, the use of recruiting pro-cedures designed to attract members of aparticular race, sex, or ethnic group, whichwere previously denied employment opportu-nities or which are currently underutilized,may be necessary to bring an employer intocompliance with Federal law, and is fre-quently an essential element of any effective


56

28 CFR Ch. I (7-1-97 Edition)§ 50.14

in section 15(A)(2)(a) above until the infor-mation is sufficient to determine that theoverall selection process does not have anadverse impact as defined in section 4 above,or until the job has changed substantially.

(3) Documentation of validity evidence—(a)Types of evidence. Where a total selectionprocess has an adverse impact (see section 4above) the user should maintain and haveavailable for each component of that processwhich has an adverse impact, one or more ofthe following types of documentation evi-dence:

(i) Documentation evidence showing cri-terion-related validity of the selection proce-dure (see section 15B, below).

(ii) Documentation evidence showing con-tent validity of the selection procedure (seesection 15C, below).

(iii) Documentation evidence showing con-struct validity of the selection procedure(see section 15D, below).

(iv) Documentation evidence from otherstudies showing validity of the selection pro-cedure in the user’s facility (see section 15E,below).

(v) Documentation evidence showing why avalidity study cannot or need not be per-formed and why continued use of the proce-dure is consistent with Federal law.

(b) Form of report. This evidence should becompiled in a reasonably complete and orga-nized manner to permit direct evaluation ofthe validity of the selection procedure. Pre-viously written employer or consultant re-ports of validity, or reports describing valid-ity studies completed before the issuance ofthese guidelines are acceptable if they arecomplete in regard to the documentation re-quirements contained in this section, or ifthey satisfied requirements of guidelineswhich were in effect when the validity studywas completed. If they are not complete, therequired additional documentation should beappended. If necessary information is notavailable the report of the validity studymay still be used as documentation, but itsadequacy will be evaluated in terms of com-pliance with the requirements of theseguidelines.

(c) Completeness. In the event that evidenceof validity is reviewed by an enforcementagency, the validation reports completedafter the effective date of these guidelinesare expected to contain the information setforth below. Evidence denoted by use of theword ‘‘(Essential)’’ is considered critical. Ifinformation denoted essential is not in-cluded, the report will be considered incom-plete unless the user affirmatively dem-onstrates either its unavailability due to cir-cumstances beyond the user’s control or spe-cial circumstances of the user’s study whichmake the information irrelevant. Evidencenot so denoted is desirable but its absencewill not be a basis for considering a reportincomplete. The user should maintain and

have available the information called forunder the heading ‘‘Source Data’’ in sections15B(11) and 15D(11). While it is a necessarypart of the study, it need not be submittedwith the report. All statistical results shouldbe organized and presented in tabular orgraphic form to the extent feasible.

B. Criterion-related validity studies. Reportsof criterion-related validity for a selectionprocedure should include the following infor-mation:

(1) User(s), location(s), and date(s) of study.Dates and location(s) of the job analysis orreview of job information, the date(s) and lo-cation(s) of the administration of the selec-tion procedures and collection of criteriondata, and the time between collection of dataon selection procedures and criterion meas-ures should be provided (Essential). If thestudy was conducted at several locations,the address of each location, including cityand State, should be shown.

(2) Problem and setting. An explicit defini-tion of the purpose(s) of the study and thecircumstances in which the study was con-ducted should be provided. A description ofexisting selection procedures and cutoffscores, if any, should be provided.

(3) Job analysis or review of job information.A description of the procedure used to ana-lyze the job or group of jobs, or to review thejob information should be provided (Essen-tial). Where a review of job information re-sults in criteria which may be used withouta full job analysis (see section 14B(3)), thebasis for the selection of these criteriashould be reported (Essential). Where a jobanalysis is required a complete descriptionof the work behavior(s) or work outcome(s),and measures of their criticality or impor-tance should be provided (Essential). The re-port should describe the basis on which thebehavior(s) or outcome(s) were determinedto be critical or important, such as the pro-portion of time spent on the respective be-haviors, their level of difficulty, their fre-quency of performance, the consequences oferror, or other appropriate factors (Essen-tial). Where two or more jobs are grouped fora validity study, the information called forin this subsection should be provided foreach of the jobs, and the justification for thegrouping (see section 14B(1)) should be pro-vided (Essential).

(4) Job titles and codes. It is desirable to pro-vide the user’s job title(s) for the job(s) inquestion and the corresponding job title(s)and code(s) from U.S. Employment Service’sDictionary of Occupational Titles.

(5) Criterion measures. The bases for the se-lection of the criterion measures should beprovided, together with references to the evi-dence considered in making the selection ofcriterion measures (essential). A full descrip-tion of all criteria on which data were col-lected and means by which they were ob-served, recorded, evaluated, and quantified,


59


who may be contacted for further informa-tion about the validity study should be pro-vided (essential).

(9) Accuracy and completeness. The reportshould describe the steps taken to assure theaccuracy and completeness of the collection,analysis, and report of data and results.

D. Construct validity studies. Reports of con-struct validity for a selection procedureshould include the following information:

(1) User(s), location(s), and date(s) of study.Date(s) and location(s) of the job analysisand the gathering of other evidence calledfor by these guidelines should be provided(essential).

(2) Problem and setting. An explicit defini-tion of the purpose(s) of the study and thecircumstances in which the study was con-ducted should be provided. A description ofexisting selection procedures and cutoffscores, if any, should be provided.

(3) Construct definition. A clear definition ofthe construct(s) which are believed to under-lie successful performance of the critical orimportant work behavior(s) should be pro-vided (essential). This definition should in-clude the levels of construct performancerelevant to the job(s) for which the selectionprocedure is to be used (essential). Thereshould be a summary of the position of theconstruct in the psychological literature, orin the absence of such a position, a descrip-tion of the way in which the definition andmeasurement of the construct was developedand the psychological theory underlying it(essential). Any quantitative data whichidentify or define the job constructs, such asfactor analyses, should be provided (essen-tial).

(4) Job analysis. A description of the meth-od used to analyze the job should be provided(essential). A complete description of thework behavior(s) and, to the extent appro-priate, work outcomes and measures of theircriticality and/or importance should be pro-vided (essential). The report should also de-scribe the basis on which the behavior(s) oroutcomes were determined to be important,such as their level of difficulty, their fre-quency of performance, the consequences oferror or other appropriate factors (essential).Where jobs are grouped or compared for thepurposes of generalizing validity evidence,the work behavior(s) and work product(s) foreach of the jobs should be described, and con-clusions concerning the similarity of thejobs in terms of observable work behaviorsor work products should be made (essential).

(5) Job titles and codes. It is desirable to pro-vide the selection procedure user’s jobtitle(s) for the job(s) in question and the cor-responding job title(s) and code(s) from theUnited States Employment Service’s dic-tionary of occupational titles.

(6) Selection procedure. The selection proce-dure used as a measure of the constructshould be completely and explicitly de-

scribed or attached (essential). If commer-cially available selection procedures areused, they should be identified by title, formand publisher (essential). The research evi-dence of the relationship between the selec-tion procedure and the construct, such asfactor structure, should be included (essen-tial). Measures of central tendency, varia-bility and reliability of the selection proce-dure should be provided (essential). When-ever feasible, these measures should be pro-vided separately for each relevant race, sexand ethnic group.

(7) Relationship to job performance. The cri-terion-related study(ies) and other empiricalevidence of the relationship between the con-struct measured by the selection procedureand the related work behavior(s) for the jobor jobs in question should be provided (essen-tial). Documentation of the criterion-relatedstudy(ies) should satisfy the provisions ofsection 15B above or section 15E(1) below, ex-cept for studies conducted prior to the effec-tive date of these guidelines (essential).Where a study pertains to a group of jobs,and, on the basis of the study, validity is as-serted for a job in the group, the observedwork behaviors and the observed work prod-ucts for each of the jobs should be described(essential). Any other evidence used in deter-mining whether the work behavior(s) in eachof the jobs is the same should be fully de-scribed (essential).

(8) Alternative procedures investigated. Thealternative selection procedures investigatedand available evidence of their impactshould be identified (essential). The scope,method, and findings of the investigation,and the conclusions reached in light of thefindings should be fully described (essential).

(9) Uses and applications. The methods con-sidered for use of the selection procedure(e.g., as a screening device with a cutoffscore, for grouping or ranking, or combinedwith other procedures in a battery) andavailable evidence of their impact should bedescribed (essential). This description shouldinclude the rationale for choosing the meth-od for operational use, and the evidence ofthe validity and utility of the procedure as itis to be used (essential). The purpose forwhich the procedure is to be used (e.g., hir-ing, transfer, promotion) should be described(essential). If weights are assigned to dif-ferent parts of the selection procedure, theseweights and the validity of the weightedcomposite should be reported (essential). Ifthe selection procedure is used with a cutoffscore, the user should describe the way inwhich normal expectations of proficiencywithin the work force were determined andthe way in which the cutoff score was deter-mined (essential).

(10) Accuracy and completeness. The reportshould describe the steps taken to assure theaccuracy and completeness of the collection,analysis, and report of data and results.


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29 CFR Ch. V (7-1-97 Edition)§ 553.30

granted to employees for hours workedin excess of 8 in a day, or for workingon a scheduled day off in a non-overtime workweek. The FLSA doesnot require compensatory time to begranted in such situations.

(b) Compensatory time which isearned and accrued by an employeeworking hours which are ‘‘overtime’’hours under State or local law, ordi-nance, or other provisions, but whichare not overtime hours under section 7of the FLSA is also considered ‘‘other’’compensatory time. For example, alocal law or ordinance may providethat compensatory time be granted toemployees for hours worked in excessof 35 in a workweek. Under section 7(a)of the FLSA, only hours worked in ex-cess of 40 in a workweek are overtimehours which must be compensated atone and one-half times the regular rateof pay.

(c) Similarly, compensatory timeearned or accrued by an employee foremployment in excess of a standard es-tablished by the personnel policy orpractice of an employer, or by custom,which does not result from the FLSAprovision, is another example of‘‘other’’ compensatory time.

(d) The FLSA does not require thatthe rate at which ‘‘other’’ compen-satory time is earned has to be at arate of one and one-half hours for eachhour of employment. The rate at which‘‘other’’ compensatory time is earnedmay be some lesser or greater multipleof the rate or the straight-time rate it-self.

(e) The requirements of section 7(o)of the FLSA, including the limitationson accrued compensatory time, do notapply to ‘‘other’’ compensatory time asdescribed above.

OTHER EXEMPTIONS

§ 553.30 Occasional or sporadic em-ployment-section 7(p)(2).

(a) Section 7(p)(2) of the FLSA pro-vides that where State or local govern-ment employees, solely at their option,work occasionally or sporadically on apart-time basis for the same publicagency in a different capacity fromtheir regular employment, the hoursworked in the different jobs shall notbe combined for the purpose of deter-

mining overtime liability under theAct.

(b) Occasional or sporadic. (1) Theterm occasional or sporadic means infre-quent, irregular, or occurring in scat-tered instances. There may be an occa-sional need for additional resources inthe delivery of certain types of publicservices which is at times best met bythe part-time employment of an indi-vidual who is already a public em-ployee. Where employees freely andsolely at their own option enter intosuch activity, the total hours workedwill not be combined for purposes of de-termining any overtime compensationdue on the regular, primary job. How-ever, in order to prevent overtimeabuse, such hours worked are to be ex-cluded from computing overtime com-pensation due only where the occa-sional or sporadic assignments are notwithin the same general occupationalcategory as the employee’s regularwork.

(2) In order for an employee’s occa-sional or sporadic work on a part-timebasis to qualify for exemption undersection 7(p)(2), the employee’s decisionto work in a different capacity must bemade freely and without coercion, im-plicit or explicit, by the employer. Anemployer may suggest that an em-ployee undertake another kind of workfor the same unit of government whenthe need for assistance arises, but theemployee must be free to refuse to per-form such work without sanction andwithout being required to explain orjustify the decision.

(3) Typically, public recreation andpark facilities, and stadiums or audito-riums utilize employees in occasionalor sporadic work. Some of these em-ployment activities are the taking oftickets, providing security for specialevents (e.g., concerts, sports events,and lectures), officiating at youth orother recreation and sports events, orengaging in food or beverage sales atspecial events, such as a county fair.Employment in such activity may beconsidered occasional or sporadic forregular employees of State or localgovernment agencies even where theneed can be anticipated because it re-curs seasonally (e.g., a holiday conertat a city college, a program of sched-uled sports events, or assistance by a


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Wage and Hour Division, Labor § 553.31

city payroll clerk in processing returnsat tax filing time). An activity doesnot fail to be occasional merely be-cause it is recurring. In contrast, forexample, if a parks department clerk,in addition to his or her regular job,also regularly works additional hourson a part-time basis (e.g., every weekor every other week) at a public parkfood and beverage sales center operatedby that agency, the additional workdoes not constitute intermittent andirregular employment and, therefore,the hours worked would be combined incomputing any overtime compensationdue.

(c) Different capacity. (1) In order foremployment in these occasional or spo-radic activities not to be consideredsubject to the overtime requirementsof section 7 of the FLSA, the regulargovernment employment of the indi-vidual performing them must also be ina different capacity, i.e., it must notfall within the same general occupa-tional category.

(2) In general, the Administrator willconsider the duties and other factorscontained in the definitions of the 3-digit categories of occupations in theDictionary of Occupational Titles (exceptin the case of public safety employeesas discussed below in section (3)), aswell as all the facts and circumstancesin a particular case, in determiningwhether employment in a second ca-pacity is substantially different fromthe regular employment.

(3) For example, if a public park em-ployee primarily engaged in play-ground maintenance also from time totime cleans an evening recreation cen-ter operated by the same agency, theadditional work would be consideredhours worked for the same employerand subject to the Act’s overtime re-quirements because it is not in a dif-ferent capacity. This would be the caseeven though the work was occasional orsporadic, and, was not regularly sched-uled. Public safety employees takingon any kind of security or safety func-tion within the same local governmentare never considered to be employed ina different capacity.

(4) However, if a bookkeeper for amunicipal park agency or a city mailclerk occasionally referees for an adultevening basketball league sponsored by

the city, the hours worked as a refereewould be considered to be in a differentgeneral occupational category than theprimary employment and would not becounted as hours worked for overtimepurposes on the regular job. A personregularly employed as a bus driver mayassist in crowd control, for example, atan event such as a winter festival, andin doing so, would be deemed to beserving in a different capacity.

(5) In addition, any activity tradi-tionally associated with teaching (e.g.,coaching, career counseling, etc.) willnot be considered as employment in adifferent capacity. However, where per-sonnel other than teachers engage insuch teaching-related activities, thework will be viewed as employment ina different capacity, provided that theseactivities are performed on an occa-sional or sporadic basis and all otherrequirements for this provision aremet. For example, a school secretarycould substitute as a coach for a bas-ketball team or a maintenance engi-neer could provide instruction on autorepair on an occasional or sporadicbasis.

§ 553.31 Substitution—section 7(p)(3).(a) Section 7(p)(3) of the FLSA pro-

vides that two individuals employed inany occupation by the same publicagency may agree, solely at their op-tion and with the approval of the pub-lic agency, to substitute for one an-other during scheduled work hours inperformance of work in the same ca-pacity. The hours worked shall be ex-cluded by the employer in the calcula-tion of the hours for which the sub-stituting employee would otherwise beentitled to overtime compensationunder the Act. Where one employeesubstitutes for another, each employeewill be credited as if he or she hadworked his or her normal work sched-ule for that shift.

(b) The provisions of section 7(p)(3)apply only if employees’ decisions tosubstitute for one another are madefreely and without coercion, direct orimplied. An employer may suggest thatan employee substitute or ‘‘tradetime’’ with another employee workingin the same capacity during regularlyscheduled hours, but each employeemust be free to refuse to perform such


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Wage and Hour Division, Labor § 553.103

notation of the time of day and begin-ning day of the work period will sufficefor these workers.

Subpart B—Volunteers

§ 553.100 General.

Section 3(e) of the Fair Labor Stand-ards Act, as amended in 1985, providesthat individuals performing volunteerservices for units of State and localgovernments will not be regarded as‘‘employees’’ under the statute. Thepurpose of this subpart is to define thecircumstances under which individualsmay perform hours of volunteer servicefor units of State and local govern-ments without being considered to betheir employees during such hours forpurposes of the FLSA.

§ 553.101 ‘‘Volunteer’’ defined.

(a) An individual who performs hoursof service for a public agency for civic,charitable, or humanitarian reasons,without promise, expectation or re-ceipt of compensation for services ren-dered, is considered to be a volunteerduring such hours. Individuals perform-ing hours of service for such a publicagency will be considered volunteersfor the time so spent and not subject tosections 6, 7, and 11 of the FLSA whensuch hours of service are performed inaccord with sections 3(e)(4) (A) and (B)of the FLSA and the guidelines in thissubpart.

(b) Congress did not intend to dis-courage or impede volunteer activitiesundertaken for civic, charitable, or hu-manitarian purposes, but expressed itswish to prevent any manipulation orabuse of minimum wage or overtimerequirements through coercion orundue pressure upon individuals to‘‘volunteer’’ their services.

(c) Individuals shall be consideredvolunteers only where their servicesare offered freely and without pressureor coercion, direct or implied, from anemployer.

(d) An individual shall not be consid-ered a volunteer if the individual isotherwise employed by the same publicagency to perform the same type ofservices as those for which the individ-ual proposes to volunteer.

§ 553.102 Employment by the samepublic agency.

(a) Section 3(e)(4)(A)(ii) of the FLSAdoes not permit an individual to per-form hours of volunteer service for apublic agency when such hours involvethe same type of services which the in-dividual is employed to perform for thesame public agency.

(b) Whether two agencies of the sameState or local government constitutethe same public agency can only be de-termined on a case-by-case basis. Onefactor that would support a conclusionthat two agencies are separate iswhether they are treated separately forstatistical purposes in the Census ofGovernments issued by the Bureau ofthe Census, U.S. Department of Com-merce.

§ 553.103 ‘‘Same type of services’’ de-fined.

(a) The 1985 Amendments providethat employees may volunteer hours ofservice to their public employer oragency provided ‘‘such services are notthe same type of services which the in-dividual is employed to perform forsuch public agency.’’ Employees mayvolunteer their services in one capacityor another without contemplation ofpay for services rendered. The phrase‘‘same type of services’’ means similaror identical services. In general, theAdministrator will consider, but not asthe only criteria, the duties and otherfactors contained in the definitions ofthe 3-digit categories of occupations inthe Dictionary of Occupational Titles indetermining whether the volunteer ac-tivities constitute the ‘‘same type ofservices’’ as the employment activi-ties. Equally important in such a de-termination will be the considerationof all the facts and circumstances in aparticular case, including whether thevolunteer service is closely related tothe actual duties performed by or re-sponsibilities assigned to the em-ployee.

(b) An example of an individual per-forming services which constitute the‘‘same type of services’’ is a nurse em-ployed by a State hospital who pro-poses to volunteer to perform nursingservices at a State-operated healthclinic which does not qualify as a sepa-rate public agency as discussed in

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29 CFR Ch. V (7–1–98 Edition)§ 553.104

§ 553.102. Similarly, a firefighter cannotvolunteer as a firefighter for the samepublic agency.

(c) Examples of volunteer serviceswhich do not constitute the ‘‘sametype of services’’ include: A city policeofficer who volunteers as a part-timereferee in a basketball league spon-sored by the city; an employee of thecity parks department who serves as avolunteer city firefighter; and an officeemployee of a city hospital or otherhealth care institution who volunteersto spend time with a disabled or elderlyperson in the same institution duringoff duty hours as an act of charity.

§ 553.104 Private individuals who vol-unteer services to public agencies.

(a) Individuals who are not employedin any capacity by State or local gov-ernment agencies often donate hours ofservice to a public agency for civic orhumanitarian reasons. Such individ-uals are considered volunteers and notemployees of such public agencies iftheir hours of service are provided withno promise expectation, or receipt ofcompensation for the services ren-dered, except for reimbursement for ex-penses, reasonable benefits, and nomi-nal fees, or a combination thereof, asdiscussed in § 553.106. There are no limi-tations or restrictions imposed by theFLSA on the types of services whichprivate individuals may volunteer toperform for public agencies.

(b) Examples of services which mightbe performed on a volunteer basis whenso motivated include helping out in asheltered workshop or providing per-sonal services to the sick or the elderlyin hospitals or nursing homes; assist-ing in a school library or cafeteria; ordriving a school bus to carry a footballteam or band on a trip. Similarly, indi-viduals may volunteer as firefightersor auxiliary police, or volunteer to per-form such tasks as working with re-tarded or handicapped children or dis-advantaged youth, helping in youthprograms as camp counselors, solicit-ing contributions or participating incivic or charitable benefit programsand volunteering other services neededto carry out charitable or educationalprograms.

[52 FR 2032, Jan. 16, 1987; 52 FR 2648, Jan. 23,1987]

§ 553.105 Mutual aid agreements.An agreement between two or more

States, political subdivisions, or inter-state governmental agencies for mu-tual aid does not change the otherwisevolunteer character of services per-formed by employees of such agenciespursuant to said agreement. For exam-ple, where Town A and Town B haveentered into a mutual aid agreementrelated to fire protection, a firefighteremployed by Town A who also is a vol-unteer firefighter for Town B will nothave his or her hours of volunteer serv-ice for Town B counted as part of his orher hours of employment with Town A.The mere fact that services volun-teered to Town B may in some in-stances involve performance in TownA’s geographic jurisdiction does not re-quire that the volunteer’s hours are tobe counted as hours of employmentwith Town A.

§ 553.106 Payment of expenses, bene-fits, or fees.

(a) Volunteers may be paid expenses,reasonable benefits, a nominal fee, orany combination thereof, for theirservice without losing their status asvolunteers.

(b) An individual who performs hoursof service as a volunteer for a publicagency may receive payment for ex-penses without being deemed an em-ployee for purposes of the FLSA. Aschool guard does not become an em-ployee because he or she receives a uni-form allowance, or reimbursement forreasonable cleaning expenses or forwear and tear on personal clothingworn while performing hours of volun-teer service. (A uniform allowancemust be reasonably limited to relievingthe volunteer of the cost of providingor maintaining a required uniformfrom personal resources.) Such individ-uals would not lose their volunteer sta-tus because they are reimbursed for theapproximate out-of-pocket expenses in-curred incidental to providing volun-teer services, for example, payment forthe cost of meals and transportationexpenses.

(c) Individuals do not lose their sta-tus as volunteers because they are re-imbursed for tuition, transportationand meal costs involved in their at-tending classes intended to teach them

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29 CFR Ch. XIV (7–1–97 Edition)§ 1607.15

DOCUMENTATION OF IMPACT ANDVALIDITY EVIDENCE

§ 1607.15 Documentation of impact andvalidity evidence.

A. Required information. Users of se-lection procedures other than thoseusers complying with section 15A(1)below should maintain and have avail-able for each job information on ad-verse impact of the selection processfor that job and, where it is determineda selection process has an adverse im-pact, evidence of validity as set forthbelow.

(1) Simplified recordkeeping for userswith less than 100 employees. In order tominimize recordkeeping burdens onemployers who employ one hundred(100) or fewer employees, and otherusers not required to file EEO–1, etseq., reports, such users may satisfythe requirements of this section 15 ifthey maintain and have availablerecords showing, for each year:

(a) The number of persons hired, pro-moted, and terminated for each job, bysex, and where appropriate by race andnational origin;

(b) The number of applicants for hireand promotion by sex and where appro-priate by race and national origin; and

(c) The selection procedures utilized(either standardized or not standard-ized).

These records should be maintained foreach race or national origin group (seesection 4 above) constituting morethan two percent (2%) of the laborforce in the relevant labor area. How-ever, it is not necessary to maintainrecords by race and/or national origin(see § 4 above) if one race or nationalorigin group in the relevant labor areaconstitutes more than ninety-eightpercent (98%) of the labor force in thearea. If the user has reason to believethat a selection procedure has an ad-verse impact, the user should maintainany available evidence of validity forthat procedure (see sections 7A and 8).

(2) Information on impact—(a) Collec-tion of information on impact. Users ofselection procedures other than thosecomplying with section 15A(1) aboveshould maintain and have available foreach job records or other informationshowing whether the total selectionprocess for that job has an adverse im-

pact on any of the groups for whichrecords are called for by sections 4Babove. Adverse impact determinationsshould be made at least annually foreach such group which constitutes atleast 2 percent of the labor force in therelevant labor area or 2 percent of theapplicable workforce. Where a total se-lection process for a job has an adverseimpact, the user should maintain andhave available records or other infor-mation showing which componentshave an adverse impact. Where thetotal selection process for a job doesnot have an adverse impact, informa-tion need not be maintained for indi-vidual components except in cir-cumstances set forth in subsection15A(2)(b) below. If the determination ofadverse impact is made using a proce-dure other than the ‘‘four-fifths rule,’’as defined in the first sentence of sec-tion 4D above, a justification, consist-ent with section 4D above, for the pro-cedure used to determine adverse im-pact should be available.

(b) When adverse impact has been elimi-nated in the total selection process.Whenever the total selection processfor a particular job has had an adverseimpact, as defined in section 4 above,in any year, but no longer has an ad-verse impact, the user should maintainand have available the information onindividual components of the selectionprocess required in the preceding para-graph for the period in which there wasadverse impact. In addition, the usershould continue to collect such infor-mation for at least two (2) years afterthe adverse impact has been elimi-nated.

(c) When data insufficient to determineimpact. Where there has been an insuffi-cient number of selections to deter-mine whether there is an adverse im-pact of the total selection process for aparticular job, the user should con-tinue to collect, maintain and haveavailable the information on individualcomponents of the selection process re-quired in section 15(A)(2)(a) above untilthe information is sufficient to deter-mine that the overall selection processdoes not have an adverse impact as de-fined in section 4 above, or until thejob has changed substantially.

(3) Documentation of validity evi-dence—(a) Types of evidence. Where a


223

Equal Employment Opportunity Comm. § 1607.15

total selection process has an adverseimpact (see section 4 above) the usershould maintain and have available foreach component of that process whichhas an adverse impact, one or more ofthe following types of documentationevidence:

(i) Documentation evidence showingcriterion-related validity of the selec-tion procedure (see section 15B, below).

(ii) Documentation evidence showingcontent validity of the selection proce-dure (see section 15C, below).

(iii) Documentation evidence show-ing construct validity of the selectionprocedure (see section 15D, below).

(iv) Documentation evidence fromother studies showing validity of theselection procedure in the user’s facil-ity (see section 15E, below).

(v) Documentation evidence showingwhy a validity study cannot or neednot be performed and why continueduse of the procedure is consistent withFederal law.

(b) Form of report. This evidenceshould be compiled in a reasonablycomplete and organized manner to per-mit direct evaluation of the validity ofthe selection procedure. Previouslywritten employer or consultant reportsof validity, or reports describing valid-ity studies completed before the issu-ance of these guidelines are acceptableif they are complete in regard to thedocumentation requirements containedin this section, or if they satisfied re-quirements of guidelines which were ineffect when the validity study wascompleted. If they are not complete,the required additional documentationshould be appended. If necessary infor-mation is not available the report ofthe validity study may still be used asdocumentation, but its adequacy willbe evaluated in terms of compliancewith the requirements of these guide-lines.

(c) Completeness. In the event thatevidence of validity is reviewed by anenforcement agency, the validation re-ports completed after the effective dateof these guidelines are expected to con-tain the information set forth below.Evidence denoted by use of the word‘‘(Essential)’’ is considered critical. Ifinformation denoted essential is not in-cluded, the report will be consideredincomplete unless the user affirma-

tively demonstrates either its unavail-ability due to circumstances beyondthe user’s control or special cir-cumstances of the user’s study whichmake the information irrelevant. Evi-dence not so denoted is desirable butits absence will not be a basis for con-sidering a report incomplete. The usershould maintain and have available theinformation called for under the head-ing ‘‘Source Data’’ in sections 15B(11)and 15D(11). While it is a necessary partof the study, it need not be submittedwith the report. All statistical resultsshould be organized and presented intabular or graphic form to the extentfeasible.

B. Criterion-related validity studies. Re-ports of criterion-related validity for aselection procedure should include thefollowing information:

(1) User(s), location(s), and date(s) ofstudy. Dates and location(s) of the jobanalysis or review of job information,the date(s) and location(s) of the ad-ministration of the selection proce-dures and collection of criterion data,and the time between collection ofdata on selection procedures and cri-terion measures should be provided(Essential). If the study was conductedat several locations, the address ofeach location, including city and State,should be shown.

(2) Problem and setting. An explicitdefinition of the purpose(s) of the studyand the circumstances in which thestudy was conducted should be pro-vided. A description of existing selec-tion procedures and cutoff scores, ifany, should be provided.

(3) Job anlysis or review of job informa-tion. A description of the procedureused to analyze the job or group ofjobs, or to review the job informationshould be provided (Essential). Where areview of job information results incriteria which may be used without afull job analysis (see section 14B(3)),the basis for the selection of these cri-teria should be reported (Essential).Where a job analysis is required a com-plete description of the work behav-ior(s) or work outcome(s), and meas-ures of their criticality or importanceshould be provided (Essential). The re-port should describe the basis on whichthe behavior(s) or outcome(s) were de-termined to be critical or important,


224

29 CFR Ch. XIV (7–1–97 Edition)§ 1607.15

such as the proportion of time spent onthe respective behaviors, their level ofdifficulty, their frequency of perform-ance, the consequences of error, orother appropriate factors (Essential).Where two or more jobs are grouped fora validity study, the information calledfor in this subsection should be pro-vided for each of the jobs, and the jus-tification for the grouping (see section14B(1)) should be provided (Essential).

(4) Job titles and codes. It is desirableto provide the user’s job title(s) for thejob(s) in question and the correspond-ing job title(s) and code(s) from U.S.Employment Service’s Dictionary ofOccupational Titles.

(5) Criterion measures. The bases forthe selection of the criterion measuresshould be provided, together with ref-erences to the evidence considered inmaking the selection of criterion meas-ures (essential). A full description ofall criteria on which data were col-lected and means by which they wereobserved, recorded, evaluated, andquantified, should be provided (essen-tial). If rating techniques are used ascriterion measures, the appraisalform(s) and instructions to the rater(s)should be included as part of the vali-dation evidence, or should be explicitlydescribed and available (essential). Allsteps taken to insure that criterionmeasures are free from factors whichwould unfairly alter the scores of mem-bers of any group should be described(essential).

(6) Sample description. A description ofhow the research sample was identifiedand selected should be included (essen-tial). The race, sex, and ethnic com-position of the sample, including thosegroups set forth in section 4A above,should be described (essential). This de-scription should include the size ofeach subgroup (essential). A descrip-tion of how the research sample com-pares with the relevant labor marketor work force, the method by which therelevant labor market or work forcewas defined, and a discussion of thelikely effects on validity of differencesbetween the sample and the relevantlabor market or work force, are alsodesirable. Descriptions of educationallevels, length of service, and age arealso desirable.

(7) Description of selection procedures.Any measure, combination of meas-ures, or procedure studied should becompletely and explicitly described orattached (essential). If commerciallyavailable selection procedures are stud-ied, they should be described by title,form, and publisher (essential). Reportsof reliability estimates and how theywere established are desirable.

(8) Techniques and results. Methodsused in analyzing data should be de-scribed (essential). Measures of centraltendency (e.g., means) and measures ofdispersion (e.g., standard deviationsand ranges) for all selection proceduresand all criteria should be reported foreach race, sex, and ethnic group whichconstitutes a significant factor in therelevant labor market (essential). Themagnitude and direction of all rela-tionships between selection proceduresand criterion measures investigatedshould be reported for each relevantrace, sex, and ethnic group and for thetotal group (essential). Where groupsare too small to obtain reliable evi-dence of the magnitude of the relation-ship, need not be reported separately.Statements regarding the statisticalsignificance of results should be made(essential). Any statistical adjust-ments, such as for less then perfect re-liability or for restriction of scorerange in the selection procedure or cri-terion should be described and ex-plained; and uncorrected correlationcoefficients should also be shown (es-sential). Where the statistical tech-nique categorizes continuous data,such as biserial correlation and the phicoefficient, the categories and thebases on which they were determinedshould be described and explained (es-sential). Studies of test fairness shouldbe included where called for by the re-quirements of section 14B(8) (essen-tial). These studies should include therationale by which a selection proce-dure was determined to be fair to thegroup(s) in question. Where test fair-ness or unfairness has been dem-onstrated on the basis of other studies,a bibliography of the relevant studiesshould be included (essential). If thebibliography includes unpublishedstudies, copies of these studies, or ade-quate abstracts or summaries, should


169

PART 600—INSTITUTIONAL ELIGI-BILITY UNDER THE HIGHER EDU-CATION ACT OF 1965, ASAMENDED

Subpart A—General

Sec.600.1 Scope.600.2 Definitions.600.3 [Reserved]600.4 Institution of higher education.600.5 Proprietary institution of higher edu-

cation.600.6 Postsecondary vocational institution.600.7 Conditions of institutional ineligibil-

ity.600.8 Treatment of a branch campus.600.9 Written agreement between an eligible

institution and another institution or or-ganization.

600.10 Date, extent, duration, and con-sequence of eligibility.

600.11 Special rules regarding institutionalaccreditation or preaccreditation.

Subpart B—Procedures for EstablishingEligibility

600.20 Application procedures.600.21 Eligibility notification.

Subpart C—Maintaining Eligibility

600.30 Institutional notification require-ments.

600.31 Change in ownership resulting in achange of control.

600.32 Eligibility of additional locations.

Subpart D—Loss of Eligibility

600.40 Loss of eligibility.600.41 Termination and emergency action

proceedings.

Subpart E—Eligibility of Foreign InstitutionsTo Apply To Participate in the FederalFamily Education Loan (FFEL) Programs

600.51 Purpose and scope.600.52 Definitions.600.53 Requesting an eligibility determina-

tion.600.54 Criteria for determining whether a

foreign institution is eligible to apply toparticipate in the FFEL programs.

600.55 Additional criteria for determiningwhether a foreign graduate medicalschool is eligible to apply to participatein the FFEL programs.

600.56 Duration of eligibility determination.

AUTHORITY: 20 U.S.C. 1088, 1091, 1094, 1099b,1099c, and 1141, unless otherwise noted.

SOURCE: 53 FR 11210, Apr. 5, 1988, unlessotherwise noted.

Subpart A—General

SOURCE: 59 FR 22336, Apr. 29, 1994, unlessotherwise noted.

§ 600.1 Scope.This part establishes the rules and

procedures that the Secretary uses todetermine whether an educational in-stitution qualifies in whole or in partas an eligible institution of higher edu-cation under the Higher Education Actof 1965, as amended (HEA). An eligibleinstitution of higher education mayapply to participate in programs au-thorized by the HEA (HEA programs).

(Authority: 20 U.S.C. 1088, 1094, 1099b, 1099c,and 1141)

§ 600.2 Definitions.The following definitions apply to

terms used in this part:Accredited: The status of public rec-

ognition that a nationally recognizedaccrediting agency grants to an insti-tution or educational program thatmeets the agency’s established require-ments.

Award year: The period of time fromJuly 1 of one year through June 30 ofthe following year.

Branch Campus: A location of an in-stitution that is geographically apartand independent of the main campus ofthe institution. The Secretary consid-ers a location of an institution to beindependent of the main campus if thelocation—

(1) Is permanent in nature;(2) Offers courses in educational pro-

grams leading to a degree, certificate,or other recognized educational creden-tial;

(3) Has its own faculty and adminis-trative or supervisory organization;and

(4) Has its own budgetary and hiringauthority.

Clock hour: A period of time consist-ing of—

(1) A 50- to 60-minute class, lecture,or recitation in a 60-minute period;

(2) A 50- to 60-minute faculty-super-vised laboratory, shop training, or in-ternship in a 60-minute period; or

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34 CFR Ch. VI (7–1–97 Edition)§ 600.2

(3) Sixty minutes of preparation in acorrespondence course.

Correspondence course: (1) A ‘‘homestudy’’ course provided by an institu-tion under which the institution pro-vides instructional materials, includ-ing examinations on the materials, tostudents who are not physically at-tending classes at the institution.When students complete a portion ofthe instructional materials, the stu-dents take the examinations that re-late to that portion of the materials,and return the examinations to the in-stitution for grading.

(2) A home study course that pro-vides instruction in whole or in partthrough the use of video cassettes orvideo discs in an award year is a cor-respondence course unless the institu-tion also delivers the instruction onthe cassette or disc to students phys-ically attending classes at the institu-tion during the same award year.

(3) A course at an institution thatmay otherwise satisfy the definition ofa ‘‘telecommunications course’’ is acorrespondence course if the sum oftelecommunications and other cor-respondence courses offered by that in-stitution equals or exceeds 50 percentof the total courses offered at that in-stitution.

(4) If a course is part correspondenceand part residential training, the Sec-retary considers the course to be a cor-respondence course.

Educational program: A legally au-thorized postsecondary program of or-ganized instruction or study that leadsto an academic, professional, or voca-tional degree, or certificate, or otherrecognized educational credential.However, the Secretary does not con-sider that an institution provides aneducational program if the institutiondoes not provide instruction itself (in-cluding a course of independent study),but merely gives credit for one or moreof the following: instruction providedby other institutions or schools; exami-nations provided by agencies or organi-zations; or other accomplishments suchas ‘‘life experience.’’

Eligible institution: An institutionthat—

(1) Qualifies as—(i) An institution of higher edu-

cation, as defined in § 600.4;

(ii) A proprietary institution of high-er education, as defined in § 600.5; or

(iii) A postsecondary vocational in-stitution, as defined in § 600.6; and

(2) Meets all the other applicable pro-visions of this part.

Federal Family Education Loan (FFEL)programs: The loan programs (formerlycalled the Guaranteed Student Loan(GSL) programs) authorized by titleIV–B of the HEA, including the FederalStafford Loan, Federal PLUS, FederalSupplemental Loans for Students (Fed-eral SLS), and Federal ConsolidationLoan programs, in which lenders usetheir own funds to make loans to en-able students or their parents to paythe costs of the students’ attendance ateligible institutions. The Federal Staf-ford Loan, Federal PLUS, Federal SLS,and Federal Consolidation Loan pro-grams are defined in 34 CFR part 668.

Incarcerated student: A student who isserving a criminal sentence in a Fed-eral, State, or local penitentiary, pris-on, jail, reformatory, work farm, orother similar correctional institution.A student is not considered incarcer-ated if that student is in a half-wayhouse or home detention or is sen-tenced to serve only weekends.

Legally authorized: The legal statusgranted to an institution through acharter, license, or other written docu-ment issued by the appropriate agencyor official of the State in which the in-stitution is physically located.

Nationally recognized accrediting agen-cy: An agency or association that theSecretary recognizes as a reliable au-thority to determine the quality ofeducation or training offered by an in-stitution or a program offered by an in-stitution. The Secretary recognizesthese agencies and associations underthe provisions of 34 CFR part 602 andpublishes a list of the recognized agen-cies in the FEDERAL REGISTER.

Nonprofit institution: An institutionthat—

(1) Is owned and operated by one ormore nonprofit corporations or associa-tions, no part of the net earnings ofwhich benefits any private shareholderor individual;

(2) Is legally authorized to operate asa nonprofit organization by each Statein which it is physically located; and


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Off. of Postsecondary Educ., Education § 600.4

(3) Is determined by the U.S. InternalRevenue Service to be an organizationto which contributions are tax-deduct-ible in accordance with section 501(c)(3)of the Internal Revenue Code (26 U.S.C.501(c)(3)).

One-academic-year training program:An educational program that is atleast one academic year as definedunder 34 CFR 668.2.

Preaccredited: A status that a nation-ally recognized accrediting agency,recognized by the Secretary to grantthat status, has accorded anunaccredited public or private non-profit institution that is progressingtoward accreditation within a reason-able period of time.

Recognized equivalent of a high schooldiploma: The following are the equiva-lent of a high school diploma—

(1) A General Education DevelopmentCertificate (GED);

(2) A State certificate received by astudent after the student has passed aState-authorized examination that theState recognizes as the equivalent of ahigh school diploma;

(3) An academic transcript of a stu-dent who has successfully completed atleast a two-year program that is ac-ceptable for full credit toward a bach-elor’s degree; or

(4) For a person who is seeking en-rollment in an educational programthat leads to at least an associate de-gree or its equivalent and who has notcompleted high school but who excelledacademically in high school, docu-mentation that the student excelledacademically in high school and hasmet the formalized, written policies ofthe institution for admitting such stu-dents.

Recognized occupation: An occupationthat is—

(1) Listed in an ‘‘occupational divi-sion’’ of the latest edition of the Dic-tionary of Occupational Titles, publishedby the U.S. Department of Labor; or

(2) Determined by the Secretary inconsultation with the Secretary ofLabor to be a recognized occupation.

Regular student: A person who is en-rolled or accepted for enrollment at aninstitution for the purpose of obtaininga degree, certificate, or other recog-nized educational credential offered bythat institution.

Secretary: The Secretary of the De-partment of Education or an official oremployee of the Department of Edu-cation acting for the Secretary under adelegation of authority.

State: A State of the Union, AmericanSamoa, the Commonwealth of PuertoRico, the District of Columbia, Guam,the Trust Territory of the Pacific Is-lands, the Virgin Islands, and the Com-monwealth of the Northern Mariana Is-lands.

Telecommunications course: A courseoffered in an award year principallythrough the use of television, audio, orcomputer transmission, including openbroadcast, closed circuit, cable, micro-wave, or satellite, audio conferencing,computer conferencing, or video cas-settes or discs. The term does not in-clude a course that is delivered usingvideo cassettes or disc recordings un-less that course is delivered to studentsphysically attending classes at an in-stitution providing the course duringthe same award year. If the course doesnot qualify as a telecommunicationscourse it is considered to be a cor-respondence course, as provided for inparagraph (c) of the definition of cor-respondence course in this section.

Title IV, HEA program: Any of the stu-dent financial assistance programs list-ed in 34 CFR 668.1(c).

(Authority: 20 U.S.C. 1071 et seq., 1078–2, 1088,1099b, 1099c, and 1141 and 26 U.S.C. 501(c).)

§ 600.3 [Reserved]

§ 600.4 Institution of higher education.(a) An institution of higher education

is a public or private nonprofit edu-cational institution that—

(1) Is in a State, or for purposes ofthe Federal Pell Grant, Federal Sup-plemental Educational OpportunityGrant, Federal Work-Study, and Fed-eral TRIO programs may also be lo-cated in the Federated States of Micro-nesia or the Marshall Islands;

(2) Admits as regular students onlypersons who—

(i) Have a high school diploma;(ii) Have the recognized equivalent of

a high school diploma; or(iii) Are beyond the age of compul-

sory school attendance in the State inwhich the institution is physically lo-cated;


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38 CFR Ch. I (7–1–00 Edition)§ 21.4507

Department of Veterans Affairs imme-diately upon delivery. If the delivery isnot made within 30 days after the insti-tution receives the check, it shall re-turn the check to the Department ofVeterans Affairs.

(2) The Director of the Department ofVeterans Affairs facility of jurisdictionmay direct that education loan checksbe sent directly to spouses or survivingspouses when:

(i) The educational institution dem-onstrates an inability to comply withthese requirements; or

(ii) The educational institution failsto provide adequately for the safe-keeping of the checks prior to the de-livery to the student or return to theDepartment of Veterans Affairs; or

(iii) The educational institutionelects not to participate in this pro-gram; or

(iv) There is compelling evidencethat the institution is unable to dis-charge its responsibilities under thisprogram.

(Authority: 38 U.S.C. 3512(f), 3698)

[44 FR 62508, Oct. 31, 1979, as amended at 61FR 26116, May 24, 1996]

§ 21.4507 Advertising.

(a) General. No educational institu-tion or training establishment shall in-clude a statement in advertisements orbrochures intended to solicit studentsas to the availability of educationloans from the Department of VeteransAffairs for eligible spouses and sur-viving spouses, except as provided inparagraph (b) of this section.

(b) Form. The statement which is per-mitted shall be as follows: ‘‘Certain eli-gible spouses and surviving spousesmay qualify for a maximum edu-cational loan of $2,500 per academicyear from the Department of VeteransAffairs depending upon need. Applica-tions for such loans shall be made tothe Department of Veterans Affairs onforms prescribed by it.’’

(Authority: 38 U.S.C. 3512(f), 3696, 3698(b))

[44 FR 62510, Oct. 31, 1979, as amended at 61FR 26116, May 24, 1996]

Subparts F–1—F–2 [Reserved]

Subpart F–3—Service MembersOccupational Conversion andTraining Program

AUTHORITY: 10 U.S.C. 1143 note; sec. 4481–4497, Pub. L. 102–484, 106 Stat. 2757–2769; sec.610, Pub. L. 103–446, 108 Stat. 4673–4674, unlessotherwise noted.

SOURCE: 60 FR 5852, Jan. 31, 1995, unlessotherwise noted.

GENERAL

§ 21.4800 Service Members Occupa-tional Conversion and TrainingProgram.

Sections 21.4800 through 21.4856 regu-late a Service Members OccupationalConversion and Training Program. Thepurpose of this program is to assistmembers of the Armed Forces who areforced or induced to leave militaryservice by reason of the drawdown ofthe Armed Forces and to provide theSecretary of Defense with another toolto manage that drawdown. The pro-gram assists eligible persons in enter-ing the civilian workforce throughtraining for employment in a stableand permanent position that involvessignificant training, VA makes pay-ments to employers who employ andtrain eligible veterans in these jobs.The payments assist employers in de-fraying the costs of necessary training.

(Authority: Subtitle G, Pub. L. 102–484, 106Stat. 2757–2769,10 U.S.C. 1143 note)

§ 21.4801 [Reserved]

§ 21.4802 Definitions.

For the purpose of the Service Mem-bers Occupational Conversion andTraining Program described in §§ 21.4800through 21.4856 the following defini-tions apply.

(a) Active duty. The term active dutymeans:

(1) Full-time duty in the ArmedForces, other than active duty fortraining,

(2) Full-time duty (other than fortraining purposes) as a commissionedofficer of the Regular or Reserve Corpsof the Public Health Service;

(3) Full-time duty as a commissionedofficer of the National Oceanic and At-mospheric Administration;

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Department of Veterans Affairs § 21.4802

(4) Service as a cadet at the UnitedStates Military, Air Force or CoastGuard Academy, or as a midshipman atthe United States Naval Academy, and

(5) Authorized travel to or from suchservice.

(Authority: 106 Stat. 2757, Pub. L. 102–484,sec. 4483(2), 10 U.S.C. 1143, note)

(b) Active duty for training. (1) Theterm active duty for training means:

(i) Full-time duty in the ArmedForces performed by Reserves fortraining purposes,

(ii) Full-time duty for training pur-poses performed as a commissioned of-ficer of the Reserve Corps of the PublicHealth Service,

(iii) In the case of members of theArmy National Guard or the Air Na-tional Guard of any State, full-timeduty under section 316, 592, 593, 594 or505 of title 32, U.S. Code,

(iv) Duty performed by a member of aSenior Reserve Officers’ Training Corpsprogram when ordered to such duty forthe purpose of training or a practicecruise under chapter 103 of title 10, U.S.Code for a period of not less than fourweeks and which must be completed bythe member before the member is com-missioned, and

(v) Authorized travel to or from suchduty.

(2) The term does not include dutyperformed as a temporary member ofthe Coast Guard Reserve.


(c) Active military, naval or air service.The term active military, naval or airservice includes active duty, any periodof active duty for training duringwhich the individual concerned wasdisabled from a disease or injury in-curred or aggravated in line of duty,and any period of inactive duty train-ing during which the individual con-cerned was disabled from an injury in-curred or aggravated in line of duty.


(d) Compensation. The term compensa-tion means a monthly payment madeby the Department of Veterans Affairs

to a veteran because of a service-con-nected disability.


(e) Eligible person. The term eligibleperson means a veteran who—

(1) Was discharged after August 1,1990, and

(2) Either—(i) Served in the active military,

naval or air service for a period of morethan 90 days, or

(ii) Was discharged or released fromactive duty because of a service-con-nected disability.

(Authority: 106 Stat. 2758, Pub. L. 102–464,sec. 4485(a)(2), 10 U.S.C. 1143, note)

(f) Employer. The term employermeans a person or business or other en-tity which—

(1) Hires the veteran,(2) Provides work, wages, and super-

vision,(3) Either provides or arranges for

training for the veteran, and(4) Can make the certification re-

quired by § 21.4822(a).

(Authority: 106 Stat. 2762, Pub. L. 102–484,sec. 4487, 10 U.S.C. 1143, note)

(g) Full-time employment. The termfull-time employment means employmentwhich requires the employee to work aregular schedule of hours per day anddays per week established as the stand-ard full-time workweek at the employ-ee’s training establishment.

(Authority: 106 Stat. 2758, Pub. L. 102–484,sec. 4485(a)(3), 10 U.S.C. 1143, note)

(h) Inactive duty training. (1) The terminactive duty training means:

(i) Duty (other than full-time duty)prescribed for Reserves (including com-missioned officers of the Reserve Corpsof the Public Health Service) by theSecretary concerned under section 206of title 37 or any other provision oflaw;

(ii) Special additional duties author-ized for Reserves (including commis-sioned officers of the Reserve Corps ofthe Public Health Service) by an au-thority designated by the Secretaryconcerned and performed by them on avoluntary basis in connection with the


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38 CFR Ch. I (7–1–00 Edition)§ 21.4802

prescribed training or maintenance ac-tivities of the units to which they areassigned,

(iii) Training (other than active dutyfor training) by a member of, or appli-cant for membership (as defined in sec-tion 8140(g) of title 5, U. S. Code), inthe Senior Reserve Officers’ TrainingCorps prescribed under chapter 103, oftitle 10, U. S. Code, and

(iv) In the case of a member of theArmy National Guard or Air NationalGuard of any State, such term meansduty (other than full-time duty) undersections 316, 502, 503, 504 or 505 of title32, U. S. Code.

(2) The term does not include:(i) Work or study performed in con-

nection with a correspondence course,(ii) Attendance at an educational in-

stitution in an inactive status, or(iii) Duty performed as a temporary

member of the Coast Guard Reserve.


(i) Intermittent job. The term intermit-tent job means a less than full-time jobin which the employee is given no ad-vance regular work schedule due to theunpredictable and sporadic nature ofthe work needed for the job.

(Authority: 106 Stat. 2760, Pub. L. 102–484,sec. 4486(b)(1), 10 U.S.C. 1143 note)

(j) Normal starting hourly wage. (1)The term normal starting hourly wagemeans, except as provided in paragraph(j)(2) of this section, the wage paid perhour (exclusive of overtime, premiumpay or fringe benefits) on the first dayof the job training program to an eligi-ble person whose training program hasnot been shortened as a result of theemployer’s evaluation of an eligibleperson’s prior training. This definitionapplies as to the eligible person whosejob training program actually has beenshortened, and who, therefore, beginstraining at a higher hourly wage.

(2) For any eligible person to whomthe Davis-Bacon Act applies the termnormal starting hourly wage means:

(i) The training wage payable underthe Davis-Bacon Act (exclusive of over-time, premium pay or fringe benefits)to the eligible person on days duringthe job training program when theDavis-Bacon Act applies, and

(ii) On days when the Davis-BaconAct does not govern the wages paid tothe eligible person, the wage as deter-mined by paragraph (j)(1) of this sec-tion.

(Authority: 106 Stat. 2762, Pub. L. 102–484,sec. 4487, 10 U.S.C. 1143 note)

(k) Part-time employment. The termpart-time employment means permanentemployment in a position in which theemployee works a regularly schedulednumber of hours each workweek that isless than the number of hours custom-arily required for full-time employ-ment in that position.

(Authority: 106 Stat. 2758, Pub. L. 102–484,sec. 4485(a)(3), 10 U.S.C. 1143 note)

(l) Permanent employment. The termpermanent employment means employ-ment which is clearly continuous innature. Thus, the term does not in-clude employment which is seasonal,time-limited, or expected to terminateupon completion of a particular prod-uct, task, obligation, contract, or as-signment.


(m) Related job. The term related jobmeans a job which has the followingcharacteristics when compared to an-other job.

(1) The Dictionary of Occupational Ti-tles, 4th edition, revised 1991, showsthat—

(i) Both jobs are in the same occupa-tional group, and

(ii) The second job requires the sameor higher specific vocational prepara-tion level as the job to which it isbeing compared, and

(2) The salary being paid to employ-ees with comparable experience andtraining in the second job is the sameor greater than the salary paid in thejob to which it is being compared.

(Authority: 106 Stat. 2762, Pub. L. 101–484,sec. 4487(b)(3), 10 U.S.C. 1143, note)

(n) Seasonal job. The term seasonal jobmeans a job which is subject to a sea-sonal need or availability resulting inno work for the employed person for 90or more consecutive calendar days.



321

Department of Veterans Affairs § 21.4812

(o) Secretary. The term Secretarymeans the Secretary of Veterans Af-fairs unless otherwise indicated by thetext of the sentence in which the termappears.


(p) Service-connected. The term serv-ice-connected means, with respect todisability, that the disability was in-curred or aggravated in line of duty inthe active military, naval or air serv-ice.


(q) State. The term State means eachof the several States, Territories, andpossessions of the United States, theDistrict of Columbia and the Common-wealth of Puerto Rico.


(r) Temporary employment. The termtemporary employment means employ-ment other than permanent employ-ment.


(s) Temporary job. The term temporaryjob means a time-limited job, particu-larly one of known, expected, or in-tended short duration (generally, notto exceed one year and, frequently,shorter).

(Authority: Pub. L. 102–484, sec. 4486(b)(1), 10U.S.C. 1143 note)

(t) Unemployed. The term unemployedmeans that a person is without full-time, permanent employment andwants and is available for full-time,permanent employment.

(Authority: 106 Stat. 2760, Pub. L. 102–484,sec. 4485(a)(3): 10 U.S.C. 1143 note)

(u) Veteran. The term veteran means aperson who—

(1) Served in the active military,naval or air service, as defined in para-graph (c) of this section, and

(2) Was discharged or released there-from under conditions other than dis-honorable.

(Authority: 106 Stat. 2757, Pub. L. 102–484,sec. 4483(2), 10 U.S.C. 1143 note, 38 U.S.C.101(2))

§§ 21.4803–21.4809 [Reserved]

ELIGIBILITY

§ 21.4810 Eligibility requirements forparticipation.

To establish eligibility for participa-tion in the Service Members Occupa-tional Conversion and Training pro-gram, an eligible person, on the date ofapplication, must—

(a)(1) Be unemployed, and(2) Have been unemployed for at least

8 of the 15 weeks immediately pre-ceding the date of his or her applica-tion for participation in a job trainingprogram under this subpart, or

(b) Be separated from the active mili-tary, naval or air service and musthave had a primary or secondary occu-pational specialty in the Armed Forceswhich (as determined under regulationsprescribed by the Secretary of Defenseand in effect before the date of the eli-gible person’s separation) is not readilytransferable to the civilian workforce;or

(c) Be entitled to compensation (orbut for the receipt of military retiredpay would be entitled to compensation)under laws administered by VA for aservice-connected disability rated at 30percent or more.

(Authority: 106 Stat. 2758, Pub. L. 102–484,sec. 4485(a)(1)(B) and (C) 10 U.S.C. 1143 note)

§ 21.4811 [Reserved]

§ 21.4812 Application and certification.(a) Application. An individual must

apply to a facility of the Veterans Ben-efits Administration for participationin a job training program using theform prescribed by VA.


(b) Approval. VA will approve an ap-plication to participate in a job train-ing program if:

(1) The applicant is an eligible personwho meets the participation require-ments of § 21.4810, and

(2) Funds are available to pay em-ployers under this subpart.

(Authority: 106 Stat. 2759, Pub. L. 102–484,sec. 4485(b)(2); 10 U.S.C. 1143 note)

(c) Certificates. (1) Upon approving aneligible person’s application, VA will


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Office of Federal Contract Compliance Programs § 60–3.1

D. Technical standards for construct valid-ity studies

(1) Appropriateness of construct validitystudies

(2) Job analysis for construct validitystudies

(3) Relationship to the job(4) Use of construct validity study with-

out new criterion-related evidence(a) Standards for use(b) Determination of common work be-

haviors

DOCUMENTATION OF IMPACT AND VALIDITYEVIDENCE

§ 60–3.15 Documentation of impact and va-lidity evidence

A. Required information(1) Simplified recordkeeping for users

with less than 100 employees(2) Information on impact

(a) Collection of information on impact(b) When adverse impact has been

eliminated in the total selection process(c) When data insufficient to determine

impact(3) Documentation of validity evidence

(a) Type of evidence(b) Form of report(c) Completeness

B. Criterion-related validity studies(1) User(s), location(s), and date(s) of

study(2) Problem and setting(3) Job analysis or review of job informa-

tion(4) Job titles and codes(5) Criterion measures(6) Sample description(7) Description of selection procedure(8) Techniques and results(9) Alternative procedures investigated(10) Uses and applications(11) Source data(12) Contact person(13) Accuracy and completeness

C. Content validity studies(1) User(s), location(s), and date(s) of

study(2) Problem and setting(3) Job analysis—Content of the job(4) Selection procedure and its content(5) Relationship between selection proce-

dure and the job(6) Alternative procedures investigated(7) Uses and applications(8) Contact person(9) Accuracy and completeness

D. Construct validity studies(1) User(s), location(s), and date(s) of

study(2) Problem and setting(3) Construct definition(4) Job analysis(5) Job titles and codes(6) Selection procedure(7) Relationship to job performance

(8) Alternative procedures investigated(9) Uses and applications(10) Accuracy and completeness(11) Source data(12) Contact person

E. Evidence of validity from other studies(1) Evidence from criterion-related valid-

ity studies(a) Job information(b) Relevance of criteria(c) Other variables(d) Use of the selection procedure(e) Bibliography

(2) Evidence from content validity stud-ies

(3) Evidence from construct validitystudiesF. Evidence of validity from cooperative

studiesG. Selection for higher level jobsH. Interim use of selection procedures

DEFINITIONS

§ 60–3.16 Definitions

APPENDIX TO PART 60–3

§ 60–3.17 Policy statement on affirmative ac-tion (see section 13B)

§ 60–3.18 Citations

AUTHORITY: Secs. 201, 202, 203, 203(a), 205,206(a), 301, 303(b), and 403(b) of E.O. 11246; asamended by sec. 715 of Civil Rights Act of1964, as amended (42 U.S.C. 2000(e)–14).

SOURCE: 43 FR 38295, 38314, August 25, 1978.

GENERAL PRINCIPLES

§ 60–3.1 Statement of purpose.A. Need for uniformity—Issuing agen-

cies. The Federal government’s need fora uniform set of principles on the ques-tion of the use of tests and other selec-tion procedures has long been recog-nized. The Equal Employment Oppor-tunity Commission, the Civil ServiceCommission, the Department of Labor,and the Department of Justice jointlyhave adopted these uniform guidelinesto meet that need, and to apply thesame principles to the Federal Govern-ment as are applied to other employ-ers.

B. Purpose of guidelines. These guide-lines incorporate a single set of prin-ciples which are designed to assist em-ployers, labor organizations, employ-ment agencies, and licensing and cer-tification boards to comply with re-quirements of Federal law prohibitingemployment practices which discrimi-nate on grounds of race, color, religion,


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Office of Federal Contract Compliance Programs § 60–3.15

Where a job analysis is required a com-plete description of the work behav-ior(s) or work outcome(s), and meas-ures of their criticality or importanceshould be provided (Essential). The re-port should describe the basis on whichthe behavior(s) or outcome(s) were de-termined to be critical or important,such as the proportion of time spent onthe respective behaviors, their level ofdifficulty, their frequency of perform-ance, the consequences of error, orother appropriate factors (Essential).Where two or more jobs are grouped fora validity study, the information calledfor in this subsection should be pro-vided for each of the jobs, and the jus-tification for the grouping (see section14B(1)) should be provided (essential).

(4) Job titles and codes. It is desirableto provide the user’s job title(s) for thejob(s) in question and the correspond-ing job title(s) and code(s) from U.S.Employment Service’s Dictionary ofOccupational Titles.

(5) Criterion measures. The bases forthe selection of the criterion measuresshould be provided, together with ref-erences to the evidence considered inmaking the selection of criterion meas-ures (essential). A full description ofall criteria on which data were col-lected and means by which they wereobserved, recorded, evaluated, andquantified, should be provided (essen-tial). If rating techniques are used ascriterion measures, the appraisalform(s) and instructions to the rater(s)should be included as part of the vali-dation evidence, or should be explicitlydescribed and available (essential). Allsteps taken to insure that criterionmeasures are free from factors whichwould unfairly alter the scores of mem-bers of any group should be described(essential).

(6) Sample description. A description ofhow the research sample was identifiedand selected should be included (essen-tial). The race, sex, and ethnic com-position of the sample, including thosegroups set forth in section 4A of thispart, should be described (essential).This description should include the sizeof each subgroup (essential). A descrip-tion of how the research sample com-pares with the relevant labor marketor work force, the method by which therelevant labor market or work force

was defined, and a discussion of thelikely effects on validity of differencesbetween the sample and the relevantlabor market or work force, are alsodesirable. Descriptions of educationallevels, length of service, and age arealso desirable.

(7) Description of selection procedures.Any measure, combination of meas-ures, or procedure studied should becompletely and explicitly described orattached (essential). If commerciallyavailable selection procedures are stud-ied, they should be described by title,form, and publisher (essential). Reportsof reliability estimates and how theywere established are desirable.

(8) Techniques and results. Methodsused in analyzing data should be de-scribed (essential). Measures of centraltendency (e.g., means) and measures ofdispersion (e.g., standard deviationsand ranges) for all selection proceduresand all criteria should be reported foreach race, sex, and ethnic group whichconstitutes a significant factor in therelevant labor market (essential). Themagnitude and direction of all rela-tionships between selection proceduresand criterion measures investigatedshould be reported for each relevantrace, sex, and ethnic group and for thetotal group (essential). Where groupsare too small to obtain reliable evi-dence of the magnitude of the relation-ship, need not be reported separately.Statements regarding the statisticalsignificance of results should be made(essential). Any statistical adjust-ments, such as for less then perfect re-liability or for restriction of scorerange in the selection procedure or cri-terion should be described and ex-plained; and uncorrected correlationcoefficients should also be shown (es-sential). Where the statistical tech-nique categorizes continuous data,such as biserial correlation and the phicoefficient, the categories and thebases on which they were determinedshould be described and explained (es-sential). Studies of test fairness shouldbe included where called for by the re-quirements of section 14B(8) (essen-tial). These studies should include therationale by which a selection proce-dure was determined to be fair to the


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41 CFR Ch. 60 (7–1–97 Edition)§ 60–3.15

(1) User(s), location(s), and date(s) ofstudy. Date(s) and location(s) of the jobanalysis and the gathering of other evi-dence called for by these guidelinesshould be provided (essential).

(2) Problem and setting. An explicitdefinition of the purpose(s) of the studyand the circumstances in which thestudy was conducted should be pro-vided. A description of existing selec-tion procedures and cutoff scores, ifany, should be provided.

(3) Construct definition. A clear defini-tion of the construct(s) which are be-lieved to underlie successful perform-ance of the critical or important workbehavior(s) should be provided (essen-tial). This definition should include thelevels of construct performance rel-evant to the job(s) for which the selec-tion procedure is to be used (essential).There should be a summary of the posi-tion of the construct in the psycho-logical literature, or in the absence ofsuch a position, a description of theway in which the definition and meas-urement of the construct was devel-oped and the psychological theory un-derlying it (essential). Any quan-titative data which identify or definethe job constructs, such as factor anal-yses, should be provided (essential).

(4) Job analysis. A description of themethod used to analyze the job shouldbe provided (essential). A complete de-scription of the work behavior(s) and,to the extent appropriate, work out-comes and measures of their criticalityand/or importance should be provided(essential). The report should also de-scribe the basis on which the behav-ior(s) or outcomes were determined tobe important, such as their level of dif-ficulty, their frequency of perform-ance, the consequences of error orother appropriate factors (essential).Where jobs are grouped or compared forthe purposes of generalizing validityevidence, the work behavior(s) andwork product(s) for each of the jobsshould be described, and conclusionsconcerning the similarity of the jobs interms of observable work behaviors orwork products should be made (essen-tial).

(5) Job titles and codes. It is desirableto provide the selection procedureuser’s job title(s) for the job(s) in ques-tion and the corresponding job title(s)

and code(s) from the United States Em-ployment Service’s dictionary of occu-pational titles.

(6) Selection procedure. The selectionprocedure used as a measure of the con-struct should be completely and explic-itly described or attached (essential). Ifcommercially available selection pro-cedures are used, they should be identi-fied by title, form and publisher (essen-tial). The research evidence of the rela-tionship between the selection proce-dure and the construct, such as factorstructure, should be included (essen-tial). Measures of central tendency,variability and reliability of the selec-tion procedure should be provided (es-sential). Whenever feasible, thesemeasures should be provided separatelyfor each relevant race, sex and ethnicgroup.

(7) Relationship to job performance.The criterion-related study(ies) andother empirical evidence of the rela-tionship between the construct meas-ured by the selection procedure and therelated work behavior(s) for the job orjobs in question should be provided (es-sential). Documentation of the cri-terion-related study(ies) should satisfythe provisions of paragraph 15B of thissection or paragraph 15E(1) of this sec-tion, except for studies conducted priorto the effective date of these guidelines(essential). Where a study pertains to agroup of jobs, and, on the basis of thestudy, validity is asserted for a job inthe group, the observed work behaviorsand the observed work products foreach of the jobs should be described(essential). Any other evidence used indetermining whether the work behav-ior(s) in each of the jobs is the sameshould be fully described (essential).

(8) Alternative procedures investigated.The alternative selection proceduresinvestigated and available evidence oftheir impact should be identified (es-sential). The scope, method, and find-ings of the investigation, and the con-clusions reached in light of the findingsshould be fully described (essential).

(9) Uses and applications. The methodsconsidered for use of the selection pro-cedure (e.g., as a screening device witha cutoff score, for grouping or ranking,or combined with other procedures in abattery) and available evidence of theirimpact should be described (essential).


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44 CFR Ch. I (10–1–97 Edition)§ 324.4

(f) Broaden the selection base inorder to assure entry of all qualified in-dividuals, including women and mem-bers of minority groups, into scientificand technical positions.

(g) Encourage continued employmentof senior scientists and engineers whoare yet capable of efficient perform-ance, even though the retention of suchpersonnel may be only on a part-timebasis.

(h) For maximum security exploreand, where appropriate, adopt the prin-ciple of decentralized scientific andtechnical operations.

§ 324.4 Action.Consistent with the policies con-

tained herein, each department andagency of the Federal Governmentshould (a) review its current manpowerpolicies and update its policies and pro-grams for scientific and engineeringmanpower to assure their maximumcontribution to national security andemergency preparedness, (b) base itspolicies and actions on projected peace-time and emergency requirements, and(c) encourage and support private sec-tor efforts to assure the fulfillment offuture requirements for this criticalmanpower resource.

PART 325—EMERGENCY HEALTHAND MEDICAL OCCUPATIONS

Sec.325.1 Purpose.325.2 Scope and applicability.325.3 Policy.

AUTHORITY: 50 U.S.C. 2061; E.O. 11490; E.O.12148.

SOURCE: 45 FR 8601, Feb. 8, 1980, unless oth-erwise noted. Redesignated at 45 FR 8601,July 1, 1980.

§ 325.1 Purpose.The Director, Federal Emergency

Management Agency, after agreementwith the Secretary of Labor and theSecretary of Health, Education, andWelfare, issues this List of EmergencyHealth and Medical Occupations in sup-port of part 11, Executive Order 11490,as amended. This List provides guid-ance to all officials concerned withplanning for the emergency trainingand emergency assignment of health

and medical personnel engaged in thelisted occupations.

§ 325.2 Scope and applicability.The list of Emergency Health and

Medical Occupations identifies thoseoccupations which would be needed toprovide public health and medical serv-ices during and immediately after anemergency in which survival of thepopulation is the primary consider-ation.

§ 325.3 Policy.(a) Training for emergency. Sections

1101, 1103(1), 1104(2), and 1325(4) of Exec-utive Order 11490 specify emergencytraining responsibilities of the Sec-retary of Health and Human Services.Depending on the availability of re-sources, the Secretary of Health andHuman Services, in cooperation withother Federal departments/agencies,State and local governments, and ap-propriate private sector organizations,shall:

(1) Define the emergency roles whichwould be performed by those filling theoccupations included on the List ofEmergency Health and Medical Occu-pations;

(2) Develop and implement appro-priate emergency training programsdesigned to prepare individuals in theseoccupations to perform effectivelytheir specialized roles in a nationalemergency as distinguished from theirpeacetime functions; and

(3) Set quantitative and qualitativetraining objectives for each occupa-tional category and develop arrange-ments for payment for the training.

(b) Allocation of the health and medicalworkforce in emergencies. During a de-clared national emergency, in whichsurvival of the population is the pre-eminent consideration, the provision ofhealth and medical services would be apriority emergency response and recov-ery function. To ensure that this prior-ity need is met, officials responsible forthe allocation of the workforce inemergency will use the List of Emer-gency Health and Medical Occupationsas an aid in the mobilization of avail-able health and medical personnel andthe staffing of emergency health andmedical services. Emergency situationsmay dictate the need to redistribute,

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Federal Emergency Management Agency § 325.3

1 Includes students, trainees, and internswhose training or education leading to anyof the indicated skills is sufficiently ad-

vanced to qualify them to contribute to thetechnical tasks of providing health services.

on a temporary basis, health and medi-cal personnel in order to provide for eq-uitable and needed coverage of theemergency caseload. Although Federal,State, and local health officials are ex-pected to have the requisite authorityto take such actions in a declared na-tional emergency, it is probable thatthe traditional role of volunteerism inthe health and medical field will pre-vail and minimize the need for involun-tary controls. Jurisdiction over healthand medical personnel in actual emer-gencies would remain with their em-ployers and the integrity of institu-tional services will be preserved wher-ever possible, except as noted above.

(c) Use of health and medical personnelin other priority emergency activities.While health and medical services willbe an immediate priority need in mostdeclared national emergencies, as thesituation unfolds, different priorityneeds will evolve, placing unusual de-mand on scarce workforce resources.As emergency health hazards and medi-cal care loads are brought under con-trol, it may be possible to release cer-tain health and medical personnel whofill positions in the occupational cat-egories listed on the List of EmergencyHealth and Medical Occupations foraugmentation of other essential workgroups on a temporary basis. Wherepossible, such reassignments should beaccomplished on a consultative, vol-untary basis.

(d) Ancillary and support personnel.Vital to the effective performance ofthe emergency health and medicalteam are individuals in direct supportoccupations such as hospital, sanita-tion, and laboratory helpers, as well asengineering, clerical, food service, andcustodial personnel. Personnel in theseancillary and support categories willremain on their jobs during and after adeclared national emergency untilhealth hazards and medical care loadsare brought under control. Reassign-ment of these personnel will follow thepolicy cited in paragraph (c) of thissection.

(e) List of emergency health manpoweroccupations.1

Occupational title Code num-ber2

Administrator, Hospital ........................................ 187.117Admitting Officer (Medical Service) ..................... 205.137Ambulance Attendant (Medical Service) ............. 355.374Ambulance Driver (Medical Service) ................... 913.683Audiologist ........................................................... 076.101Audiometrist ......................................................... 078.362Bacteriologist ....................................................... 041.061Bacteriologist, Dairy ............................................. 041.061Bacteriologist, Fishery ......................................... 041.061Bacteriologist, Food ............................................. 041.061Bacteriologist, Medical ......................................... 041.061Bacteriologist, Pharmaceutical ............................ 041.061Biochemist ........................................................... 041.061Birth Attendant ..................................................... 354.377Chemist, Clinical .................................................. 041.061Chemist, Pharmaceutical ..................................... 041.061Dentist .................................................................. 072Dental Assistant (Medical Service) ..................... 079.371Dental Hygienist .................................................. 078.361Dietitian, Clinical (Prof. & Kindred) ...................... 077.127Emergency Medical Services Coordinator .......... 079.117Entomologist (Prof. & Kindred) ............................ 041.061Food and Drug Inspector (Government Serv-

ices) .................................................................. 168.267Health Officer, Field ............................................. 168.167Health Physicist ................................................... 079.021Helminthologist .................................................... 041.061Histopathologist ................................................... 041.061Hygienist, Industrial ............................................. 079.161Industrial Health Engineer ................................... 012.167Laboratory Assistant, Blood and Plasma ............ 078.687Medical Apparatus Model Maker ......................... 712.261Medical Assistant ................................................. 079.367Medical Laboratory Assistant .............................. 078.381Medical Record Administrator ............................. 079.169Nurse Aide ........................................................... 355.674Nurse, Practical ................................................... 354.374Nurse, Licensed Practical .................................... 079.374Nurse, Registered ................................................ 075Optician, Dispensing ............................................ 713.361Optician ................................................................ 716.280Optometrist .......................................................... 079.101Orderly (Medical Service) .................................... 355.674Orthopedic Assistant ........................................... 712.661Orthoptist (Medical Service) ................................ 079.371Orthotist ............................................................... 078.261Osteopathic Physician ......................................... 071.101Parasitologist ....................................................... 041.061Pathologist ........................................................... 070.061Pharmacist ........................................................... 074Pharmacologist .................................................... 041.061Physicians and Surgeons .................................... 070Physician Assistant .............................................. 079.364Podiatrist .............................................................. 079.101Prosthetist ............................................................ 078.261Protozoologist ...................................................... 041.061Psychiatric Aide ................................................... 355.377Psychologist, Clinical ........................................... 045.107Public Health Educator (Prof. & Kindred) ........... 079.117Public Health Microbiologist ................................ 041.261Radiation Monitor ................................................ 199.167Sanitarian ............................................................. 079.117Sanitary Engineer ................................................ 005.061Social Worker, Medical ........................................ 195.107Social Worker, Psychiatric ................................... 195.107Superintendent, Hospital ..................................... 187.117Supervisor, Dental Laboratory ............................. 712.131Technicians:

Audiometric Technican ................................. 078.362


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44 CFR Ch. I (10–1–97 Edition)Pt. 327

Occupational title Code num-ber2

Biomedical Equipment Technician (inst. andapp.; medical service) ............................... 719.261

Biomedical Equipment Technician (Prof. &Kindred) .................................................... 019.261

Blood-Bank Technician ................................ 078.381Cytotechnician .............................................. 078.381Dental-Laboratory Technician ...................... 712.381Dental Technician ......................................... 712.381Dialysis Technician ....................................... 078.362Electrocardiograph Technician ..................... 078.362Electroencephalographic Technician ........... 078.362Emergency Medical Technician ................... 079.374Hematology Technician ................................ 078.381Laboratory Technician, Veterinary ............... 073.361Medical Technician ....................................... 078.381Medical Laboratory Technician .................... 078.381Orthodontic Technician ................................ 712.381Orthotics-Prosthetics Technician .................. 712.381Sereology Technician ................................... 078.381Surgical Technician ...................................... 079.374Tissue Technician ........................................ 078.381X-ray Technician .......................................... 199.361

Technologists:Biochemistry Technologist ........................... 078.261Blood-Bank Technologist ............................. 078.361Cytotechnologist ........................................... 078.281Hermatology Technologist ............................ 078.361Histopathology Technologist ........................ 078.361Medical Technologist .................................... 078.361Microbiology Technologist ............................ 078.261Nuclear Medical Technologist ...................... 078.361Radiologic Technologist ............................... 078.362Serology Technologist .................................. 078.361Tissue Technologist ..................................... 078.361X-ray Technologist ....................................... 078.362

Therapists:Inhalation Therapist ...................................... 079.361Occupational Therapist ................................ 076.121Orientation Therapist for Blind ..................... 076.221Physical Therapist ........................................ 076.121Respiratory Therapist ................................... 079.361

Veterinarians 3 ..................................................... 073Virologist .............................................................. 041.061

2 Dictionary of Occupational Titles/Department of Labor/Fourth Edition.

3 Though current planning provides that many veterinariansbe utilized in casualty care and preventive medicine activitiesimmediately after an emergency, veterinarians will continue tobe needed to perform services of a strictly veterinary natureafter most of the human casualties have been cared for tem-porarily. Such veterinary activities will include protection offood, animals against diseases and the effects of atomic, bio-logical, and chemical warfare; meat and poultry inspectionand supplementing food inspection forces for certain foodprocessing plants, and food storage facilities.

[45 FR 8601, Feb. 8, 1980. Redesignated at 45FR 8601, July 1, 1980 and amended at 51 FR34606, Sept. 30, 1986]

PART 327—POLICY ON USE OFGOVERNMENT–OWNED INDUS-TRIAL PLANT EQUIPMENT BY PRI-VATE INDUSTRY (DMO–10A)

Sec.327.1 Purpose.327.2 Scope and applicability.327.3 Policy.327.4 Disputes.327.5 Reports.

AUTHORITY: National Security Act of 1947,as amended, 50 U.S.C. 404; Defense Produc-tion Act of 1950, as amended, 50 U.S.C. app.2061 et seq.; Reorganization Plan No. 3 of 1978,3 CFR, 1978 Comp., p. 329; E.O. 12148 of July20, 1979, 44 FR 43239.

SOURCE: 45 FR 44583, July 1, 1980, unlessotherwise noted.

§ 327.1 Purpose.This part establishes policy on the

use by private industry of Government-owned industrial plant equipment. Thispolicy is necessary to maintain a high-ly effective and immediately availablereserve of such equipment for theemergency preparedness programs ofthe U.S. Government.

§ 327.2 Scope and applicability.(a) This part applies to all Federal

departments and agencies having, forpurposes of mobilization readiness,Government-owned industrial plantequipment under their jurisdiction orcontrol and having emergency pre-paredness functions assigned by Execu-tive orders concerning use of thatequipment.

(b) As used herein, industrial plantequipment means those items of equip-ment, each with an acquisition cost of$1,000 or more, that fall within speci-fied classes of equipment listed in DODregulations. Classes of equipment mayfrom time to time be added to or de-leted from this list.

§ 327.3 Policy.(a) General. (1) Primary reliance for

defense production shall be placed uponprivate industry.

(2) When it is determined by an agen-cy that, because of the lack of specificindustrial plant equipment, private in-dustry of the United States cannot berelied upon for needed Government pro-duction, that agency may provide toprivate industry such Government-owned industrial plant equipment as isdeemed necessary to ensure requiredproduction capability. Requirementsfor such equipment should be reviewedat least annually to ascertain the con-tinuing need, particularly with a viewtoward private industry furnishing theequipment for long term requirements.

(3) When it is necessary for Federalagencies to supply Government-owned


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41895

WednesdayAugust 5, 1998

Part II

Office ofManagement andBudget1998 Standard Occupational ClassificationRevision; Notice

41896 Federal Register / Vol. 63, No. 150 / Wednesday, August 5, 1998 / Notices

OFFICE OF MANAGEMENT ANDBUDGET

1998 Standard OccupationalClassification Revision

AGENCY: Office of Management andBudget, Executive Office of thePresident.ACTION: Notice of solicitation ofcomments.

SUMMARY: Under title 44 U.S.C. 3504,the Office of Management and Budget(OMB) is seeking public comment onthe Standard OccupationalClassification Revision PolicyCommittee’s (SOCRPC) finalrecommendations for revising the 1980Standard Occupational Classification’s(SOC) occupational units and aggregategroups presented in this notice. TheSOCRPC has developed a newoccupational classification system thatwill cover all jobs in the nationaleconomy, including occupations in thepublic, private, and military sectors.

All Federal agencies that collectoccupational data will use the newsystem; similarly, all State and localgovernment agencies are stronglyencouraged to use this national systemto promote a common language forcategorizing occupations in the world ofwork. The new SOC system will be usedby the Occupational EmploymentStatistics (OES) program of the Bureauof Labor Statistics (BLS) for gatheringoccupational information. It will alsoreplace the Bureau of the Census’ 1990occupational classification system andwill be used for the 2000 Census. Inaddition, the new SOC will serve as theframework for information beinggathered through the Department ofLabor’s Occupational InformationNetwork (O*NET), which is in theprocess of replacing the Dictionary ofOccupational Titles (DOT).

In three prior Federal Register notices(February 28, 1995, 60 FR 10998–11002;October 5, 1995, 60 FR 52284–52286;July 7, 1997, 62 FR 36337–36409), OMBand the SOCRPC requested comment onthe uses of occupational data; on theexisting 1980 SOC classificationprinciples, purpose and scope, andconceptual options; on the SOCRPC’sproposed revision process; on thecomposition of detailed occupations; onthe hierarchical structure andnumbering system; and on updateprocedures.

The structure and numbering systemrecommended in this notice reflect thecomments received from the July 7,1997, notice, and represent the finalrecommendations the SOCRPC ismaking to OMB. OMB, in consultation

with the SOCRPC, will use thecomments in response to this notice onthe SOCRPC final recommendations tomake its final decisions for the 1998SOC and publish them in the FederalRegister. The SOCRPC also will beginpreparing the 1998 StandardOccupational Classification Manual forpublication. Committee members willbe completing definitions, assigningassociated titles, and developing crosslists to existing systems.

This notice contains threeappendices. Appendix A presents theSOCRPC’s final recommendations in theform of the complete revised SOChierarchical structure and numberingsystem; Appendix B provides a crosslistbetween the codes proposed in thisnotice and those proposed in the July 7,1997, SOC Federal Register notice; andAppendix C lists respondents to the July7 notice.

Request for Comments: OMBwelcomes comments with respect to anytopic related to occupationalclassification, but is specificallyinterested in comments concerning:

(1) the hierarchical structure of thenew SOC presented in Appendix Abelow, especially the minor group,broad occupation, and detailedoccupation organization within thestructure, and the numbering systemused, and

(2) the establishment of ongoingreview and update procedures and atime frame for future revision asoutlined in the ‘‘Next Steps in Process’’recommendations near the end of theSupplementary Information sectionbelow. It is anticipated that the nextmajor review and revision of the SOCwill begin in 2005 in preparation for usein the 2010 Decennial Census.DATES: To ensure consideration allcomments must be in writing andreceived on or before October 9, 1998.ADDRESSES: Correspondence about theadoption and implementation of theSOC as shown in this Federal Registernotice should be sent to: Katherine K.Wallman, Chief Statistician, Office ofManagement and Budget, 10201 NewExecutive Office Building, Washington,DC 20503, telephone number: (202)395–3093, FAX number: (202) 395–7245.

Inquiries about the definition ofparticular occupations or requests forelectronic copies of the SOC structureshould be made to Laurie Salmon,Standard Occupational ClassificationRevision Policy Committee, Bureau ofLabor Statistics, Room 4840,Washington, DC 20212, telephonenumber: (202) 606–6511, FAX number:(202) 606–6645.

Electronic Availability and Comment:This document is available on theInternet from the Bureau of LaborStatistics via WWW browser and E-mail.To obtain this document via WWWbrowser, connect to <http://stats.bls.gov/soc/soclhome.htm>. ThisWWW page contains previous SOCFederal Register notices and relateddocuments as well. To obtain thisdocument via E-mail, send a message [email protected].

Comments may be sent via E-mail toOMB at [email protected] (do notinclude any capital letters in theaddress). Comments received at thisaddress by the date specified above willbe included as part of the official record.FOR FURTHER INFORMATION CONTACT: PaulBugg, 10201 New Executive OfficeBldg., Washington, DC 20503, E-mailaddress: [email protected], telephonenumber: (202) 395–3093, FAX number:(202) 395–7245.SUPPLEMENTARY INFORMATION:

Revision Process

The Standard OccupationalClassification Revision PolicyCommittee (SOCRPC) chose theOccupational Employment Statistics(OES) occupational classification systemcurrently used by the Bureau of LaborStatistics (BLS) to gather occupationalinformation as the starting point for thenew Standard OccupationalClassification (SOC) framework. TheCommittee also relied heavily on theDepartment of Labor’s OccupationalInformation Network (O*NET), which isin the process of replacing theDictionary of Occupational Titles(DOT). To carry out the bulk of therevision effort, the Committee createdsix work groups to examine occupationsin the following areas: Administrativeand Clerical occupations; Science,Engineering, Law, Health, Education,and Arts occupations; Services andSales occupations; Agriculture,Construction, Extraction, andTransportation occupations; Mechanicaland Production occupations; andMilitary Specific occupations.

The Committee charged the workgroups with ensuring that theoccupations under their considerationconformed to the criteria laid out in theOctober 5, 1995, Federal Registernotice:

The Classification should cover alloccupations in which work is performedfor pay or profit, including workperformed in family-operatedenterprises by family members who arenot directly compensated. It shouldexclude occupations unique tovolunteers.

41897Federal Register / Vol. 63, No. 150 / Wednesday, August 5, 1998 / Notices

The Classification should reflect thecurrent occupational structure of theUnited States and have sufficientflexibility to assimilate new occupationsinto the structure as they becomeknown.

While striving to reflect the currentoccupational structure, theClassification should maintain linkagewith past systems. The importance ofhistorical comparability should beweighed against the desire forincorporating substantive changes tooccupations occurring in the work force.

Occupations should be classifiedbased upon work performed, skills,education, training, licensing, andcredentials.

Occupations should be classified inhomogeneous groups that are defined sothat the content of each group is clear.

Each occupation should be assignedto only one group at the lowest level ofthe Classification.

The employment size of anoccupational group should not be themajor reason for including or excludingit from separate identification.

Supervisors should be identifiedseparately from the workers theysupervise wherever possible in keepingwith the real structure of the world ofwork. An exception should be made forprofessional and technical occupationswhere supervisors or lead workersshould be classified in the appropriategroup with the workers they supervise.

Apprentices and trainees should beclassified with the occupations forwhich they are being trained, whilehelpers and aides should be classifiedseparately since they are not in trainingfor the occupation they are helping.

Comparability with the InternationalStandard Classification of Occupations(ISCO–88) should be considered in thestructure, but should not be anoverriding factor.

In carrying out their reviews, the workgroups carefully considered allproposals received in response toFederal Register notices issued by OMBand the SOCRPC.

General Characteristics of the RevisedSOC

In response to comments received inreference to the July 7, 1997, FederalRegister notice, the SOCRPCsignificantly modified the hierarchicalstructure and numbering system of therevised SOC to ensure that all detailedoccupations are placed within a broadoccupation. In the revised SOC, thereare four levels of aggregation: (1) Majorgroup; (2) minor group; (3) broadoccupation; and (4) detailed occupation.All occupations are clustered into 23major groups (listed below), such as

Management or Healthcare Practitionerand Technical occupations. These majorgroups are broken down intooccupationally-specific minor groups,such as Operations Specialties Managersin the Management Occupations majorgroup or Health Diagnosing andTreating Practitioners in the HealthcarePractitioner and Technical Occupationsmajor group. Minor groups, in turn, aredivided into broad occupations, such asHuman Resources Managers orTherapists, which are further dividedinto detailed occupations, such asCompensation and Benefits Managers,or Physical Therapists.

Each item in the hierarchy isdesignated by a six-digit code. Thehyphen between the second and thirddigit is used only for presentationclarity.

The first two digits of the new SOCcode represent the major group; thethird digit represents the minor group;the fourth and fifth digits represent thebroad occupation; and the sixth digitrepresents the detailed occupation.Major group codes end with 0000 (e.g.,29–0000, Healthcare Practitioner andTechnical Occupations), minor groupsend with 000 (e.g., 29–1000, HealthDiagnosing and Treating Practitioners),and broad occupations end with 0 (e.g.,29–1120, Therapists). All residuals(‘‘Other,’’ ‘‘Miscellaneous,’’ or ‘‘AllOther’’), whether at the minor group,broad occupation, or detailedoccupation level, will contain a 9 at thelevel of the residual. Minor groups thatare major group residuals will end in9000 (e.g., 11–9000, Other ManagementOccupations); broad occupations thatare minor group residuals will end in 90(e.g., 11–9190, MiscellaneousManagement Occupations); and residualdetailed occupations will end in 9 (e.g.,11–9199, Management Occupations, AllOther):11–0000 Management Occupations

11–9000 Other Management Occupations11–9190 Miscellaneous Management

Occupations11–9199 Management Occupations,

All Other

In the case where there are more than9 broad occupations in a minor group(or more than eight, if there is noresidual), the xx-x090 will be skipped(reserved for residuals), the xx-x000 willbe skipped (reserved for minor groups),and the numbering system will go to xx-x110. The residual broad occupationwill then be xx-x190 or xx-x290 (e.g.,51–9190, Miscellaneous ProductionWorkers).

The proposed 1998 SOC occupationalgroups and detailed occupationspresented in Appendix A are not always

consecutively numbered because ofthese coding conventions as well as toallow for the insertion of additionaloccupational groups in future revisionsof the SOC. In addition, the codingsystem is designed to allow thosedesiring a delineation of occupationsbelow the detailed occupation level touse a decimal point and additionaldigit(s) after the sixth digit. It isrecommended that users needing extradetail use the structure currently beingdeveloped for O*NET. Each occupationin the revised SOC will be placedwithin one of these major groups:11 Management Occupations13 0Business and Financial Operations

Occupations15 Computer and Mathematical

Occupations17 Architecture and Engineering

Occupations19 Life, Physical, and Social Science

Occupations21 Community and Social Services

Occupations23 Legal Occupations25 Education, Training, and Library

Occupations27 Arts, Design, Entertainment, Sports,

and Media Occupations29 Healthcare Practitioner and

Technical Occupations31 Healthcare Support Occupations33 Protective Service Occupations35 Food Preparation and Serving

Related Occupations37 Building and Grounds Cleaning and

Maintenance Occupations39 Personal Care and Service

Occupations41 Sales and Related Occupations43 Office and Administrative Support

Occupations45 Farming, Fishing, and Forestry

Occupations47 Construction and Extraction

Occupations49 Installation, Maintenance, and

Repair Occupations51 Production Occupations53 Transportation and Material

Moving Occupations55 Military Specific Occupations

The SOCRPC is proposing that twoaggregates of these major groups be usedfor survey tabulation purposes, whenneeded. The proposed aggregates are asfollows:

Intermediate Aggregation (11 groups)

11–13 Management, Business, andFinancial Occupations

15–29 Professional and RelatedOccupations

31–39 Service Occupations41 Sales and Related Occupations43 Office and Administrative Support

Occupations


45 Farming, Fishing, and ForestryOccupations

47 Construction and ExtractionOccupations

49 Installation, Maintenance, andRepair Occupations

51 Production Occupations53 Transportation and Material

Moving Occupations55 Military Specific Occupations

High-level Aggregation (6 groups)11–29 Management, Professional, and

Related Occupations31–39 Service Occupations41–43 Sales and Office Occupations45–49 Natural Resources,

Construction, and MaintenanceOccupations

51–53 Production, Transportation, andMaterial Moving Occupations

55 Military Specific OccupationsThe 1998 SOC contains 810 detailed

occupations, aggregated into 449 broadoccupations. These broad occupationsare grouped into 98 minor groups, thatare, in turn, grouped into 23 majorgroups.

Significant Changes and Responses toComments

In reply to the July 7, 1997, FederalRegister notice, the SOCRPC receivedover 200 responses. Allrecommendations were considered bythe Committee, and most wereimplemented. The Committee receivednumerous comments regarding theproposed hierarchical structure. TheSOCRPC significantly revised thehierarchical structure and numberingsystem in response to these comments;please see Appendix A for the results ofthis restructuring. In addition, much ofthe correspondence questioned wherespecific unlisted occupations would beclassified. The publication of indexitems and associated titles will clarifythese issues. Specific issues (e.g.,additions, modifications) implementedby the work groups are listed below;revised definitions will be madeavailable on the SOC website. SeeAppendix B to match codes publishedin this notice with the codes publishedin the July 7, 1997, Federal Registernotice.

In the Management Occupationsmajor group, the detailed occupation‘‘Treasurers, Controllers, and ChiefFinancial Officers’’ was deleted. Inaddition, the definitions of ‘‘Generaland Operations Managers’’ (11–1021),‘‘Computer and Information SystemsManagers’’ (11–3021), ‘‘FinancialManagers ‘‘ (11–3031), and ‘‘EducationAdministrators, Postsecondary’’ (11–9033) were modified.

In the Business and FinancialOperations Occupations major group,

the Committee disaggregated ‘‘Buyersand Purchasing Agents’’ into‘‘Purchasing Agents and Buyers, FarmProducts’’ (13–1021), ‘‘Wholesale andRetail Buyers, Except Farm Products’’(13–1022), and ‘‘Purchasing Agents,Except Wholesale, Retail, and FarmProducts’’ (13–1023). ‘‘FuneralDirectors’’ (11–9061) was moved to theManagement Occupations major group.

In the Computer and MathematicalOccupations major group, ‘‘SystemsAnalysts, Science and Engineering’’ and‘‘System Analysts, All Other’’ wereaggregated into ‘‘Computer SystemsAnalysts’’ (15–1051). The titles anddefinitions of ‘‘Computer SoftwareEngineers, Applications’’ (15–1031) and‘‘Computer Software Engineers, SystemsSoftware’’ (15–1032) were modified, and‘‘Mathematical Technicians’’ (15–3011)was added to the revised SOC.

In the Architecture and EngineeringOccupations major group,‘‘Architectural and Civil Drafters’’ and‘‘Architectural Technicians andTechnologists’’ were aggregated into‘‘Architectural and Civil Drafters’’ (17–3011), and the definitions of ‘‘ComputerHardware Engineers’’ (17–2061),‘‘Environmental Engineers’’ (17–2081),and ‘‘Engineering Technicians, ExceptDrafters, All Other’’ (17–3029) weremodified.

In the Life, Physical, and SocialScience Occupations major group,‘‘Epidemiologists’’ (19–1041) was addedas a detailed occupation. MedicalPhysicists was added as an associatedtitle under ‘‘Medical Scientists, AllOther’’ (19–1049), and Public HealthPolicy Analysts was added as anassociated title under ‘‘Social Scientistsand Related Workers, All Other’’ (19–3099).

In the Community and Social ServiceOccupations major group, the title of‘‘Alcohol and Substance AbuseCounselors’’ was changed to ‘‘SubstanceAbuse and Behavioral DisorderCounselors’’ (21–1011) and thedefinition was modified. ‘‘Marriage andFamily Counselors and Therapists’’ wasretitled ‘‘Marriage and FamilyTherapists’’ (21–1013). HIV/AIDSCounselors and ASAT C.O.R.E.(American Society of AlternativeTherapists Conscious, Ownership,Retrieval/Release, and Engage)Counselors were added as associatedtitles under ‘‘Counselors, All Other’’(21–1019). The definition of ‘‘MentalHealth and Substance Abuse SocialWorkers’’ (21–1023) was modified, and‘‘Health Educators’’ (21–1091) wasadded to the revised SOC.

In the Legal Occupations major group,new minor groups for ‘‘Lawyers, Judges,and Related Workers’’ (23–1000) and

‘‘Legal Support Workers’’ (23–2000)were created. The title and definition of‘‘Administrative Law Judges andHearing Officers’’ (23–1021) weremodified, and the definitions of‘‘Lawyers’’ (23–1011) and ‘‘Law Clerks’’(23–2092) were also modified. The titleof ‘‘Judges and Magistrates’’ waschanged to ‘‘Judges, Magistrate Judges,and Magistrates’’ (23–1023). ‘‘Safety andHealth Inspectors and ComplianceOfficers, Except Construction’’ wasdisaggregated into ‘‘ComplianceOfficers, Except Agriculture,Construction, Health and Safety, andTransportation’’ (13–1031) and‘‘Financial Examiners’’ (13–2061) (in theBusiness and Financial OperationsOccupations major group);‘‘Occupational Health and SafetySpecialists’’ (29–9011) (in theHealthcare Practitioner and TechnicalOccupations major group); and‘‘Agricultural Inspectors’’ (45–2011) (inthe Farming, Fishing, and ForestryOccupations major group).‘‘Construction and Building Inspectors’’(47–4011) was moved to theConstruction and ExtractionOccupations major group.

In the Education, Training, andLibrary Occupations major group,‘‘Library Technicians and Assistants’’was disaggregated into ‘‘LibraryTechnicians’’ (25–4031) and ‘‘LibraryAssistants, Clerical’’ (43–4121). ‘‘LibraryAssistants, Clerical’’ was then moved tothe Office and Administrative SupportOccupations major group. ‘‘TeacherAides’’ (25–9041) was retitled ‘‘TeacherAssistants,’’ and the definitions for‘‘Literacy, Remedial Education, andGED Teachers and Instructors’’ (25–3011), ‘‘Librarians’’ (25–4021) and‘‘Special Education Teachers’’ (25–2041)were modified. ‘‘Sports and PhysicalTraining Instructors and Coaches’’ wasaggregated with ‘‘Coaches and Scouts’’(27–2022), in the Arts, Design,Entertainment, Sports, and MediaOccupations major group, and‘‘Educational, Vocational, and SchoolGuidance Counselors’’ (21–1012) wasmoved to the ‘‘Community and SocialServices’’ major group.

In the Arts, Design, Entertainment,Sports, and Media Occupations majorgroup, new minor groups for ‘‘Art andDesign Workers’’ (27–1000),‘‘Entertainers and Performers, Sportsand Related Workers’’ (27–2000),‘‘Media and Communication Workers’’(27–3000), and ‘‘Media andCommunication Equipment Workers’’(27–4000) were created. ‘‘Dancers andChoreographers’’ was disaggregated into‘‘Dancers’’ (27–2031) and‘‘Choreographers’’ (27–2032).‘‘Announcers’’ was disaggregated into


‘‘Radio and Television Announcers’’(27–3011) and ‘‘Public Address Systemand Other Announcers’’ (27–3012).

The Health Occupations major groupwas disaggregated into HealthcarePractitioner and Technical Occupations(29–0000) and Healthcare SupportOccupations (31–0000); see the revisedstructure in Appendix A for details ofthis disaggregation. The definition of‘‘Cardiovascular Technologists andTechnicians’’ (29–2031) was modified.‘‘Health Service Coordinators’’ wasdeleted as a detailed occupation andadded as an associated title under‘‘Healthcare Practitioner and Technicaloccupations, All Other’’ (29–9099);associated titles added under thisoccupation were Hearing Aid Specialist,Electroneurodiagnostic Technologists,Optometric and OphthalmicTechnicians, and Dialysis Technicians.The title ‘‘Physical Therapy Assistants’’was changed to ‘‘Physical TherapistAssistants’’ (31–2021), and thedefinition of ‘‘Medical Assistants’’ (31–9092) was modified. ‘‘Phlebotomists’’was converted to an associated titleunder ‘‘Healthcare SupportOccupations, All Other’’ (31–9099).

In the Protective Service Occupationsmajor group, ‘‘United States Marshals’’was deleted from the revised SOC.

In the Food Preparation and ServingRelated Occupations major group, nosignificant changes were made since theJuly 7, 1997, Federal Register notice.

The title of the Buildings andGrounds Maintenance Occupationsmajor group was changed to Buildingand Grounds Cleaning and MaintenanceOccupations. ‘‘Landscaping andGroundskeeping Laborers’’ was retitled‘‘Landscaping and GroundskeepingWorkers’’ (37–3011).

In the Personal Care and ServiceOccupations major group, ‘‘Skin CareSpecialists’’ (39–5094) and ‘‘FitnessTrainers and Aerobics Instructors’’ (39–9041) were added to the revised SOC,the definition of ‘‘Personal and HomeCare Aides’’ (39–9031) was modified,and ‘‘Masseuses and Masseurs’’ wasretitled ‘‘Massage Therapists’’ (39–9021).

In the Sales and Related Occupationsmajor group, no significant changeswere made since the July 7, 1997,Federal Register notice.

The title of the Office andAdministration Occupations majorgroup was changed to Office andAdministrative Support Occupations.‘‘Tellers and Customer ServiceRepresentatives, Financial Institutions’’was disaggregated into ‘‘Tellers’’ (43–3061), ‘‘Customer ServiceRepresentatives’’ (43–4051), and ‘‘NewAccounts Clerks’’ (43–4141). ‘‘Customer

Service Representatives, Except Salesand Financial’’ was deleted. ‘‘CourtReporters, Medical Transcriptionists,and Stenographers’’ was disaggregatedinto ‘‘Court Reporters’’ (23–2091) in theLegal Occupations major group, and‘‘Medical Transcriptionists’’ (31–9094),in the Health Care Support Occupationsmajor group. The definition of‘‘Computer Operators’’ (43–9011) wasmodified. ‘‘Insurance Claims Adjusters,Examiners, and Investigators’’ (13–1071)and ‘‘Insurance Appraisers, AutoDamage’’ (13–1072) were moved to theBusiness and Financial OperationsOccupations major group.

In the Farming, Fishing, and ForestryOccupations major group, ‘‘VeterinaryAssistants and Nonfarm AnimalCaretakers’’ was disaggregated into‘‘Veterinary Assistants and LaboratoryAnimal Caretakers’’ and ‘‘NonfarmAnimal Caretakers.’’ ‘‘VeterinaryAssistants and Laboratory AnimalCaretakers’’ (31–9096) was moved to theHealthcare Support Occupations majorgroup, while ‘‘Nonfarm AnimalCaretakers’’ (39–2021) was moved to thePersonal Care and Service Occupationsmajor group, along with ‘‘AnimalTrainers’’ (39–2011). ‘‘LoggingEquipment Operators’’ (45–4022) wasadded to the revised SOC.

In the Construction and ExtractionOccupations major group, ‘‘ConstructionLaborers’’ was retitled ‘‘ConstructionCraft Laborers’’ (47–2061). This and thefollowing definitions were modified:‘‘Helpers—Brickmasons, Blockmasons,Stonemasons, and Tile and MarbleSetters’’ (47–3011), ‘‘Helpers—Carpenters’’ (47–3012), ‘‘Helpers—Electricians’’ (47–3013), ‘‘Helpers—Painters, Paperhangers, Plasterers, andStucco Masons’’ (47–3014), ‘‘Helpers—Pipelayers, Plumbers, Pipefitters, andSteamfitters’’ (47–3015), and ‘‘Helpers—Roofers’’ (47–3016). ‘‘ConstructionEquipment Operators’’ wasdisaggregated into three occupations:‘‘Paving, Surfacing, and TampingEquipment Operators’’ (47–2071), ‘‘Pile-Driver Operators’’ (47–2072) and‘‘Operating Engineers and OtherConstruction Equipment operators’’ (47–2073). ‘‘Security and Fire AlarmSystems Installers’’ (49–2098) wasmoved to the Installation, Maintenance,and Repair Occupations major group.

In the Installation, Maintenance, andRepair Occupations major group,‘‘Electrical and Electronics Installersand Repairers, TransportationEquipment’’ was disaggregated into‘‘Electrical and Electronics Installersand Repairers, TransportationEquipment’’ (49–2093) and ‘‘ElectronicEquipment Installers and Repairers,Motor Vehicles’’ (49–2096). ‘‘Electrical

and Electronics Repairers, Commercialand Industrial Equipment’’ wasdisaggregated into ‘‘Electrical andElectronics Repairers, IndustrialEquipment’’ (49–2094) and ‘‘Electricaland Electronics Repairers, Powerhouse,Substation, and Relay’’ (49–2095). Jet-ski Mechanics was added as anassociated title under ‘‘Small EngineMechanics’’ (49–3033). ‘‘BiomedicalEngineering Technicians’’ and ‘‘BMET’’were added as associated titles under‘‘Medical Equipment Repairers’’ (49–9062). ‘‘Commercial Divers’’ (49–9092)was added as a new detailedoccupation.

In the Production Occupations majorgroup, ‘‘Molders, Shapers, andCoremakers’’ was retitled ‘‘FoundryMold and Coremakers’’ (51–4071).‘‘Desktop Publishers’’ (43–9031) wasmoved to the Office and AdministrativeSupport Occupations major group.

In the Transportation and MaterialMoving Occupations major group, thedefinitions of the following detailedoccupations were modified:‘‘Commercial Pilots’’ (53–2012),‘‘Drivers/Sales Workers’’ (53–3031),‘‘Truck Drivers, Light or DeliveryServices’’ (53–3033), and ‘‘IndustrialTruck and Tractor Operators’’ (53–7051). ‘‘Elevator Operators’’ was deletedfrom the revised SOC.

In the Military Specific Occupationsmajor group, no significant changeswere made since the July 7, 1997,Federal Register notice.

Next Steps in Process

After analyzing comments generatedby this Federal Register notice, OMBplans to publish its final decisions forthe 1998 SOC in the Federal Register bythe end of 1998.

The SOCRPC also will beginpreparing the 1998 StandardOccupational Classification Manual forpublication. Committee members willbe completing definitions, assigningassociated titles, and developing crosslists to existing systems. The SOCRPC isplanning a process for ensuring that theimplementation of the 1998 SOC iscomparable across Federal agencies,including regularly scheduledinteragency communication to ensurethat there is a smooth Federal transitionto the 1998 SOC.

It has been eighteen years since thelast revision of the SOC. The SOCRevision Policy Committee urges theOffice of Management and Budget toestablish a new standing committee, theStandard Occupational ClassificationReview Committee, to ensure that the1998 SOC remains appropriate to theworld of work.


The new committee should meettwice per year to review proposals forchanges in the SOC, such as thedefinition and placement of newoccupations. In addition, it shouldprovide timely advice to the Bureau ofthe Census during its 2000 Censusoccupations coding operation,particularly with respect to the properclassification of unfamiliar jobdescriptions and job titles. Thecommittee should also undertake athorough review of the entire SOC onceper decade, perhaps in conjunction withpreparations for the decennial census.

Because of this broad role, werecommend that the committee consistof representatives of the followingagencies:Department of Commerce, Bureau of the

CensusDepartment of Defense, Defense

Manpower Data CenterDepartment of EducationDepartment of Health and Human

Services, Bureau of Health ProfessionsDepartment of Labor, Bureau of Labor

StatisticsDepartment of Labor, Employment and

Training Administration

Equal Employment OpportunityCommission

National Occupational InformationCoordinating Committee

National Science FoundationOffice of Management and Budget (ex-

officio)Office of Personnel Management

We recommend that the Bureau ofLabor Statistics chair the committee andstaff its secretariat, and that it be givensufficient authority to carry out itssecretariat duties, such as organizingworking groups to makerecommendations for changes.

APPENDIX A: Proposed 1998 SOC Detailed Occupations11–0000 MANAGEMENT OCCUPATIONS

11–1000 TOP EXECUTIVES11–1010 Chief Executives

11–1011 Chief Executives11–1020 General and Operations Managers

11–1021 General and Operations Managers11–1030 Legislators

11–1031 Legislators11–2000 ADVERTISING, MARKETING, PROMOTIONS, PUBLIC RELATIONS, AND SALES MANAGERS

11–2010 Advertising and Promotions Managers11–2011 Advertising and Promotions Managers

11–2020 Marketing and Sales Managers11–2021 Marketing Managers11–2022 Sales Managers

11–2030 Public Relations Managers11–2031 Public Relations Managers

11–3000 OPERATIONS SPECIALTIES MANAGERS11–3010 Administrative Services Managers

11–3011 Administrative Services Managers11–3020 Computer and Information Systems Managers

11–3021 Computer and Information Systems Managers11–3030 Financial Managers

11–3031 Financial Managers11–3040 Human Resources Managers

11–3041 Compensation and Benefits Managers11–3042 Training and Development Managers11–3049 Human Resources Managers, All Other

11–3050 Industrial Production Managers11–3051 Industrial Production Managers

11–3060 Purchasing Managers11–3061 Purchasing Managers

11–3070 Transportation, Storage, and Distribution Managers11–3071 Transportation, Storage, and Distribution Managers

11–9000 OTHER MANAGEMENT OCCUPATIONS11–9010 Agricultural Managers

11–9011 Farm, Ranch, and Other Agricultural Managers11–9012 Farmers and Ranchers

11–9020 Construction Managers11–9021 Construction Managers

11–9030 Education Administrators11–9031 Education Administrators, Preschool and Child Care Center/Program11–9032 Education Administrators, Elementary and Secondary School11–9033 Education Administrators, Postsecondary11–9039 Education Administrators, All Other

11–9040 Engineering Managers11–9041 Engineering Managers

11–9050 Food Service Managers11–9051 Food Service Managers

11–9060 Funeral Directors11–9061 Funeral Directors

11–9070 Lodging Managers11–9071 Lodging Managers

11–9080 Medical and Health Services Managers11–9081 Medical and Health Services Managers

11–9110 Natural Sciences Managers11–9111 Natural Sciences Managers


11–9120 Postmasters and Mail Superintendents11–9121 Postmasters and Mail Superintendents

11–9130 Property, Real Estate, and Community Association Managers11–9131 Property, Real Estate, and Community Association Managers

11–9140 Social and Community Service Managers11–9141 Social and Community Service Managers

11–9190 Miscellaneous Managers11–9199 Managers, All Other

13–0000 BUSINESS AND FINANCIAL OPERATIONS OCCUPATIONS13–1000 BUSINESS OPERATIONS SPECIALISTS

13–1010 Agents and Business Managers of Artists, Performers, and Athletes13–1011 Agents and Business Managers of Artists, Performers, and Athletes

13–1020 Buyers and Purchasing Agents13–1021 Purchasing Agents and Buyers, Farm Products13–1022 Wholesale and Retail Buyers, Except Farm Products13–1023 Purchasing Agents, Except Wholesale, Retail, and Farm Products

13–1030 Compliance Officers, Except Agriculture, Construction, Health and Safety, and Transportation13–1031 Compliance Officers, Except Agriculture, Construction, Health and Safety, and Transportation

13–1040 Cost Estimators13–1041 Cost Estimators

13–1050 Emergency Management Specialists13–1051 Emergency Management Specialists

13–1060 Human Resources, Training, and Labor Relations Specialists13–1061 Employment, Recruitment, and Placement Specialists13–1062 Compensation, Benefits, and Job Analysis Specialists13–1063 Training and Development Specialists13–1069 Human Resources, Training, and Labor Relations Specialists, All Other

13–1070 Insurance Claims Adjusters, Appraisers, Examiners, and Investigators13–1071 Insurance Claims Adjusters, Examiners, and Investigators13–1072 Insurance Appraisers, Auto Damage

13–1080 Logisticians13–1081 Logisticians

13–1110 Management Analysts13–1111 Management Analysts

13–1120 Meeting and Convention Planners13–1121 Meeting and Convention Planners

13–1190 Miscellaneous Business Operations Specialists13–1199 Business Operations Specialists, All Other

13–2000 FINANCIAL SPECIALISTS13–2010 Accountants and Auditors

13–2011 Accountants and Auditors13–2020 Assessors and Real Estate Appraisers

13–2021 Assessors and Real Estate Appraisers13–2030 Budget Analysts

13–2031 Budget Analysts13–2040 Credit Analysts

13–2041 Credit Analysts13–2050 Financial Analysts and Advisors

13–2051 Financial Analysts13–2052 Personal Financial Advisors13–2053 Insurance Underwriters

13–2060 Financial Examiners13–2061 Financial Examiners

13–2070 Loan Counselors and Officers13–2071 Loan Counselors13–2072 Loan Officers

13–2080 Tax Examiners, Collectors, Preparers, and Revenue Agents13–2081 Tax Examiners, Collectors, and Revenue Agents13–2082 Tax Preparers

13–2090 Miscellaneous Financial Specialists13–2099 Financial Specialists, All Other

15–0000 COMPUTER AND MATHEMATICAL OCCUPATIONS15–1000 COMPUTER SPECIALISTS

15–1010 Computer and Information Scientists, Research15–1011 Computer and Information Scientists, Research

15–1020 Computer Programmers15–1021 Computer Programmers

15–1030 Computer Software Engineers15–1031 Computer Software Engineers, Applications15–1032 Computer Software Engineers, Systems Software

15–1040 Computer Support Specialists15–1041 Computer Support Specialists

15–1050 Computer Systems Analysts15–1051 Computer Systems Analysts

15–1060 Database Administrators15–1061 Database Administrators


15–1070 Network and Computer Systems Administrators15–1071 Network and Computer Systems Administrators

15–1080 Network Systems and Data Communications Analysts15–1081 Network Systems and Data Communications Analysts

15–1090 Miscellaneous Computer Specialists15–1099 Computer Specialists, All Other

15–2000 MATHEMATICAL SCIENTISTS15–2010 Actuaries

15–2011 Actuaries15–2020 Mathematicians

15–2021 Mathematicians15–2030 Operations Researchers and Analysts

15–2031 Operations Researchers and Analysts15–2040 Statisticians

15–2041 Statisticians15–2090 Miscellaneous Mathematical Scientists

15–2099 Mathematical Scientists, All Other15–3000 MATHEMATICAL TECHNICIANS

15–3010 Mathematical Technicians15–3011 Mathematical Technicians

17–0000 ARCHITECTURE AND ENGINEERING OCCUPATIONS17–1000 ARCHITECTS, SURVEYORS, AND CARTOGRAPHERS

17–1010 Architects, Except Naval17–1011 Architects, Except Landscape and Naval17–1012 Landscape Architects

17–1020 Surveyors, Cartographers, and Photogrammetrists17–1021 Cartographers and Photogrammetrists17–1022 Surveyors

17–2000 ENGINEERS17–2010 Aerospace Engineers

17–2011 Aerospace Engineers17–2020 Agricultural Engineers

17–2021 Agricultural Engineers17–2030 Biomedical Engineers

17–2031 Biomedical Engineers17–2040 Chemical Engineers

17–2041 Chemical Engineers17–2050 Civil Engineers

17–2051 Civil Engineers17–2060 Computer Hardware Engineers

17–2061 Computer Hardware Engineers17–2070 Electrical and Electronics Engineers

17–2071 Electrical Engineers17–2072 Electronics Engineers, Except Computer

17–2080 Environmental Engineers17–2081 Environmental Engineers

17–2110 Industrial Engineers, Including Health and Safety17–2111 Health and Safety Engineers, Except Mining Safety Engineers and Inspectors17–2112 Industrial Engineers

17–2120 Marine Engineers and Naval Architects17–2121 Marine Engineers and Naval Architects

17–2130 Materials Engineers17–2131 Materials Engineers

17–2140 Mechanical Engineers17–2141 Mechanical Engineers

17–2150 Mining and Geological Engineers, Including Mining Safety Engineers17–2151 Mining and Geological Engineers, Including Mining Safety Engineers

17–2160 Nuclear Engineers17–2161 Nuclear Engineers

17–2170 Petroleum Engineers17–2171 Petroleum Engineers

17–2190 Miscellaneous Engineers17–2199 Engineers, All Other

17–3000 DRAFTERS, ENGINEERING, AND MAPPING TECHNICIANS17–3010 Drafters

17–3011 Architectural and Civil Drafters17–3012 Electrical and Electronics Drafters17–3013 Mechanical Drafters17–3019 Drafters, All Other

17–3020 Engineering Technicians, Except Drafters17–3021 Aerospace Engineering and Operations Technicians17–3022 Civil Engineering Technicians17–3023 Electrical and Electronic Engineering Technicians17–3024 Electro-mechanical Technicians17–3025 Environmental Engineering Technicians17–3026 Industrial Engineering Technicians


17–3027 Mechanical Engineering Technicians17–3029 Engineering Technicians, Except Drafters, All Other

17–3030 Surveying and Mapping Technicians17–3031 Surveying and Mapping Technicians

19–0000 LIFE, PHYSICAL, AND SOCIAL SCIENCE OCCUPATIONS19–1000 LIFE SCIENTISTS

19–1010 Agricultural and Food Scientists19–1011 Animal Scientists19–1012 Food Scientists and Technologists19–1013 Soil and Plant Scientists

19–1020 Biological Scientists19–1021 Biochemists and Biophysicists19–1022 Microbiologists19–1023 Zoologists and Wildlife Biologists19–1029 Biological Scientists, All Other

19–1030 Conservation Scientists and Foresters19–1031 Conservation Scientists19–1032 Foresters

19–1040 Medical Scientists19–1041 Epidemiologists19–1049 Medical Scientists, All Other

19–1090 Miscellaneous Life Scientists19–1099 Life Scientists, All Other

19–2000 PHYSICAL SCIENTISTS19–2010 Astronomers and Physicists

19–2011 Astronomers19–2012 Physicists

19–2020 Atmospheric and Space Scientists19–2021 Atmospheric and Space Scientists

19–2030 Chemists and Materials Scientists19–2031 Chemists19–2032 Materials Scientists

19–2040 Environmental Scientists and Geoscientists19–2041 Environmental Scientists19–2042 Geoscientists, Except Hydrologists and Geographers19–2043 Hydrologists

19–2090 Miscellaneous Physical Scientists19–2099 Physical Scientists, All Other

19–3000 SOCIAL SCIENTISTS AND RELATED WORKERS19–3010 Economists

19–3011 Economists19–3020 Market and Survey Researchers

19–3021 Market Research Analysts19–3022 Survey Researchers

19–3030 Psychologists19–3031 Clinical, Counseling, and School Psychologists19–3032 Industrial-organizational Psychologists19–3039 Psychologists, All Other

19–3040 Sociologists19–3041 Sociologists

19–3050 Urban and Regional Planners19–3051 Urban and Regional Planners

19–3090 Miscellaneous Social Scientists and Related Workers19–3091 Anthropologists and Archeologists19–3092 Geographers19–3093 Historians19–3094 Political Scientists19–3099 Social Scientists and Related Workers, All Other

19–4000 LIFE, PHYSICAL, AND SOCIAL SCIENCE TECHNICIANS19–4010 Agricultural and Food Science Technicians

19–4011 Agricultural and Food Science Technicians19–4020 Biological Technicians

19–4021 Biological Technicians19–4030 Chemical Technicians

19–4031 Chemical Technicians19–4040 Geological and Petroleum Technicians

19–4041 Geological and Petroleum Technicians19–4050 Nuclear Technicians

19–4051 Nuclear Technicians19–4060 Social Science Research Assistants

19–4061 Social Science Research Assistants19–4090 Miscellaneous Life, Physical, and Social Science Technicians

19–4091 Environmental Science Technicians19–4092 Forensic Science Technicians19–4093 Forest and Conservation Technicians19–4099 Life, Physical, and Social Science Technicians, All Other


21–0000 COMMUNITY AND SOCIAL SERVICES OCCUPATIONS21–1000 COUNSELORS, SOCIAL WORKERS, AND OTHER COMMUNITY AND SOCIAL SERVICE SPECIALISTS

21–1010 Counselors21–1011 Substance Abuse and Behavioral Disorder Counselors21–1012 Educational, Vocational, and School Counselors21–1013 Marriage and Family Therapists21–1014 Mental Health Counselors21–1015 Rehabilitation Counselors21–1019 Counselors, All Other

21–1020 Social Workers21–1021 Child, Family, and School Social Workers21–1022 Medical and Public Health Social Workers21–1023 Mental Health and Substance Abuse Social Workers21–1029 Social Workers, All Other

21–1090 Miscellaneous Psychosocial, Community, and Behavioral Specialists21–1091 Health Educators21–1092 Probation Officers and Correctional Treatment Specialists21–1093 Social and Human Service Assistants21–1099 Psychosocial, Community, and Behavioral Specialists, All Other

21–2000 RELIGIOUS WORKERS21–2010 Clergy

21–2011 Clergy21–2020 Directors, Religious Activities and Education

21–2021 Directors, Religious Activities and Education21–2090 Miscellaneous Religious Workers

21–2099 Religious Workers, All Other23–0000 LEGAL OCCUPATIONS

23–1000 LAWYERS, JUDGES, AND RELATED WORKERS23–1010 Lawyers

23–1011 Lawyers23–1020 Judges, Magistrates, and Other Judicial Workers

23–1021 Administrative Law Judges and Hearing Officers23–1022 Arbitrators, Mediators, and Conciliators23–1023 Judges, Magistrate Judges, and Magistrates

23–2000 LEGAL SUPPORT WORKERS23–2010 Paralegals and Legal Assistants

23–2011 Paralegals and Legal Assistants23–2090 Miscellaneous Legal Support Workers

23–2091 Court Reporters23–2092 Law Clerks23–2093 Title Examiners, Abstractors, and Searchers23–2099 Legal Support Workers, All Other

25–0000 EDUCATION, TRAINING, AND LIBRARY OCCUPATIONS25–1000 TEACHERS, POSTSECONDARY

25–1010 Business Teachers, Postsecondary25–1011 Business Teachers, Postsecondary

25–1020 Math and Computer Teachers, Postsecondary25–1021 Computer Science Teachers, Postsecondary25–1022 Mathematical Science Teachers, Postsecondary

25–1030 Engineering and Architecture Teachers, Postsecondary25–1031 Architecture Teachers, Postsecondary25–1032 Engineering Teachers, Postsecondary

25–1040 Life Sciences Teachers, Postsecondary25–1041 Agricultural Sciences Teachers, Postsecondary25–1042 Biological Science Teachers, Postsecondary25–1043 Forestry and Conservation Science Teachers, Postsecondary

25–1050 Physical Sciences Teachers, Postsecondary25–1051 Atmospheric, Earth, Marine, and Space Sciences Teachers, Postsecondary25–1052 Chemistry Teachers, Postsecondary25–1053 Environmental Science Teachers, Postsecondary25–1054 Physics Teachers, Postsecondary

25–1060 Social Sciences Teachers, Postsecondary25–1061 Anthropology and Archeology Teachers, Postsecondary25–1062 Area, Ethnic, and Cultural Studies Teachers, Postsecondary25–1063 Economics Teachers, Postsecondary25–1064 Geography Teachers, Postsecondary25–1065 Political Science Teachers, Postsecondary25–1066 Psychology Teachers, Postsecondary25–1067 Sociology Teachers, Postsecondary25–1069 Social Sciences Teachers, Postsecondary, All Other

25–1070 Health Teachers, Postsecondary25–1071 Health Specialties Teachers, Postsecondary25–1072 Nursing Instructors and Teachers, Postsecondary

25–1080 Education and Library Science Teachers, Postsecondary25–1081 Education Teachers, Postsecondary25–1082 Library Science Teachers, Postsecondary


25–1110 Law, Criminal Justice, and Social Services Teachers, Postsecondary25–1111 Criminal Justice and Law Enforcement Teachers, Postsecondary25–1112 Law Teachers, Postsecondary25–1113 Social Work Teachers, Postsecondary

25–1120 Arts, Communications, and Humanities Teachers, Postsecondary25–1121 Art, Drama, and Music Teachers, Postsecondary25–1122 Communications Teachers, Postsecondary25–1123 English Language and Literature Teachers, Postsecondary25–1124 Foreign Language and Literature Teachers, Postsecondary25–1125 History Teachers, Postsecondary25–1126 Philosophy and Religion Teachers, Postsecondary

25–1190 Miscellaneous Postsecondary Teachers25–1191 Graduate Assistants, Teaching25–1192 Home Economics Teachers, Postsecondary25–1193 Recreation and Fitness Studies Teachers, Postsecondary25–1199 Postsecondary Teachers, All Other

25–2000 TEACHERS, PRIMARY, SECONDARY, AND SPECIAL EDUCATION25–2010 Teachers, Preschool and Kindergarten

25–2011 Teachers, Preschool25–2012 Teachers, Kindergarten

25–2020 Teachers, Elementary and Middle School25–2021 Teachers, Elementary School25–2022 Teachers, Middle School

25–2030 Teachers, Secondary School25–2031 Teachers, Secondary School

25–2040 Special Education Teachers25–2041 Special Education Teachers

25–3000 OTHER TEACHERS AND INSTRUCTORS25–3010 Literacy, Remedial Education, and GED Teachers and Instructors

25–3011 Literacy, Remedial Education, and GED Teachers and Instructors25–3020 Self-enrichment Education Teachers

25–3021 Self-enrichment Education Teachers25–3030 Vocational Education and Training Teachers and Instructors

25–3031 Vocational Education and Training Teachers and Instructors25–3090 Miscellaneous Teachers and Instructors

25–3099 Teachers and Instructors, All Other25–4000 LIBRARIANS, CURATORS, AND ARCHIVISTS

25–4010 Archivists, Curators, and Museum Technicians25–4011 Archivists25–4012 Curators25–4013 Museum Technicians and Conservators

25–4020 Librarians25–4021 Librarians

25–4030 Library Technicians25–4031 Library Technicians

25–9000 OTHER EDUCATION, TRAINING, AND LIBRARY OCCUPATIONS25–9010 Audio-visual Collections Specialists

25–9011 Audio-visual Collections Specialists25–9020 Farm and Home Management Advisors

25–9021 Farm and Home Management Advisors25–9030 Instructional Coordinators

25–9031 Instructional Coordinators25–9040 Teacher Assistants

25–9041 Teacher Assistants25–9090 Miscellaneous Education, Training, and Library Workers

25–9099 Education, Training, and Library Workers, All Other27–0000 ARTS, DESIGN, ENTERTAINMENT, SPORTS, AND MEDIA OCCUPATIONS

27–1000 ART AND DESIGN WORKERS27–1010 Artists and Related Workers

27–1011 Art Directors27–1012 Craft Artists27–1013 Fine Artists, Including Painters, Sculptors, and Illustrators27–1014 Multi-Media Artists and Animators27–1019 Artists and Related Workers, All Other

27–1020 Designers27–1021 Commercial and Industrial Designers27–1022 Fashion Designers27–1023 Floral Designers27–1024 Graphic Designers27–1025 Interior Designers27–1026 Merchandise Displayers and Window Trimmers27–1027 Set and Exhibit Designers27–1029 Designers, All Other

27–2000 ENTERTAINERS AND PERFORMERS, SPORTS AND RELATED WORKERS27–2010 Actors, Producers, and Directors

27 2011 Actors


27–2012 Producers and Directors27–2020 Athletes, Coaches, Umpires, and Related Workers

27–2021 Athletes and Sports Competitors27–2022 Coaches and Scouts27–2023 Umpires, Referees, and Other Sports Officials

27–2030 Dancers and Choreographers27–2031 Dancers27–2032 Choreographers

27–2040 Musicians, Singers, and Related Workers27–2041 Music Directors and Composers27–2042 Musicians and Singers

27–2090 Miscellaneous Entertainers and Performers, Sports and Related Workers27–2099 Entertainers and Performers, Sports and Related Workers, All Other

27–3000 MEDIA AND COMMUNICATION WORKERS27–3010 Announcers

27–3011 Radio and Television Announcers27–3012 Public Address System and Other Announcers

27–3020 News Analysts, Reporters and Correspondents27–3021 Broadcast News Analysts27–3022 Reporters and Correspondents

27–3030 Public Relations Specialists27–3031 Public Relations Specialists

27–3040 Writers and Editors27–3041 Editors27–3042 Technical Writers27–3043 Writers and Authors

27–3090 Miscellaneous Media and Communication Workers27–3091 Interpreters and Translators27–3099 Media and Communication Workers, All Other

27–4000 MEDIA AND COMMUNICATION EQUIPMENT WORKERS27–4010 Broadcast and Sound Engineering Technicians and Radio Operators

27–4011 Broadcast Technicians27–4012 Radio Operators27–4013 Sound Engineering Technicians

27–4020 Photographers27–4021 Photographers

27–4030 Television, Video, and Motion Picture Camera Operators and Editors27–4031 Camera Operators, Television, Video, and Motion Picture27–4032 Film and Video Editors

27–4090 Miscellaneous Media and Communication Equipment Workers27–4099 Media and Communication Equipment Workers, All Other

29–0000 HEALTHCARE PRACTITIONERS AND TECHNICAL OCCUPATIONS29–1000 HEALTH DIAGNOSING AND TREATING PRACTITIONERS

29–1010 Chiropractors29–1011 Chiropractors

29–1020 Dentists29–1021 Dentists, General29–1022 Oral and Maxillofacial Surgeons29–1023 Orthodontists29–1024 Prosthodontists29–1029 Dentists, All Other Specialists

29–1030 Dietitians and Nutritionists29–1031 Dietitians and Nutritionists

29–1040 Optometrists29–1041 Optometrists

29–1050 Pharmacists29–1051 Pharmacists

29–1060 Physicians and Surgeons29–1061 Anesthesiologists29–1062 Family and General Practitioners29–1063 Internists, General29–1064 Obstetricians and Gynecologists29–1065 Pediatricians, General29–1066 Psychiatrists29–1067 Surgeons29–1069 Physicians and Surgeons, All Other

29–1070 Physician Assistants29–1071 Physician Assistants

29–1080 Podiatrists29–1081 Podiatrists

29–1110 Registered Nurses29–1111 Registered Nurses

29–1120 Therapists29–1121 Audiologists29–1122 Occupational Therapists29–1123 Physical Therapists


29–1124 Radiation Therapists29–1125 Recreational Therapists29–1126 Respiratory Therapists29–1127 Speech-language Pathologists29–1129 Therapists, All Other

29–1130 Veterinarians29–1131 Veterinarians

29–1190 Miscellaneous Health Diagnosing and Treating Practitioners29–1199 Health Diagnosing and Treating Practitioners, All Other

29–2000 HEALTH TECHNOLOGISTS AND TECHNICIANS29–2010 Clinical Laboratory Technologists and Technicians

29–2011 Medical and Clinical Laboratory Technologists29–2012 Medical and Clinical Laboratory Technicians

29–2020 Dental Hygienists29–2021 Dental Hygienists

29–2030 Diagnostic Related Technologists and Technicians29–2031 Cardiovascular Technologists and Technicians29–2032 Diagnostic Medical Sonographers29–2033 Nuclear Medicine Technologists29–2034 Radiologic Technologists and Technicians

29–2040 Emergency Medical Technicians and Paramedics29–2041 Emergency Medical Technicians and Paramedics

29–2050 Health Diagnosing and Treating Practitioner Support Technicians29–2051 Dietetic Technicians29–2052 Pharmacy Technicians29–2053 Psychiatric Technicians29–2054 Respiratory Therapy Technicians29–2055 Surgical Technologists29–2056 Veterinary Technologists and Technicians

29–2060 Licensed Practical and Licensed Vocational Nurses29–2061 Licensed Practical and Licensed Vocational Nurses

29–2070 Medical Records and Health Information Technicians29–2071 Medical Records and Health Information Technicians

29–2080 Opticians, Dispensing29–2081 Opticians, Dispensing

29–2090 Miscellaneous Health Technologists and Technicians29–2091 Orthotists and Prosthetists29–2099 Health Technologists and Technicians, All Other

29–9000 OTHER HEALTHCARE PRACTITIONERS AND TECHNICAL OCCUPATIONS29–9010 Occupational Health and Safety Specialists and Technicians

29–9011 Occupational Health and Safety Specialists29–9012 Occupational Health and Safety Technicians

29–9090 Miscellaneous Healthcare Practitioners and Technical Workers, All Other29–9091 Athletic Trainers29–9099 Healthcare Practitioners and Technical Workers, All Other

31–0000 HEALTHCARE SUPPORT OCCUPATIONS31–1000 NURSING, PSYCHIATRIC, AND HOME HEALTH AIDES

31–1010 Nursing, Psychiatric, and Home Health Aides31–1011 Home Health Aides31–1012 Nursing Aides, Orderlies, and Attendants31–1013 Psychiatric Aides

31–2000 OCCUPATIONAL AND PHYSICAL THERAPIST ASSISTANTS AND AIDES31–2010 Occupational Therapist Assistants and Aides

31–2011 Occupational Therapist Assistants31–2012 Occupational Therapist Aides

31–2020 Physical Therapist Assistants and Aides31–2021 Physical Therapist Assistants31–2022 Physical Therapist Aides

31–9000 OTHER HEALTHCARE SUPPORT OCCUPATIONS31–9090 Miscellaneous Healthcare Support Occupations

31–9091 Dental Assistants31–9092 Medical Assistants31–9093 Medical Equipment Preparers31–9094 Medical Transcriptionists31–9095 Pharmacy Aides31–9096 Veterinary Assistants and Laboratory Animal Caretakers31–9099 Healthcare Support Workers, All Other

33–0000 PROTECTIVE SERVICE OCCUPATIONS33–1000 SUPERVISORS, PROTECTIVE SERVICE WORKERS

33–1010 First-Line Supervisors/Managers, Law Enforcement Workers33–1011 First-Line Supervisors/Managers of Correctional Officers33–1012 First-Line Supervisors/Managers of Police and Detectives

33–1020 First-Line Supervisors/Managers, Fire Fighting and Prevention Workers33–1021 First-Line Supervisors/Managers of Fire Fighting and Prevention Workers

33–1090 Miscellaneous Supervisors, Protective Service Workers33–1099 Supervisors, Protective Service Workers, All Other


33–2000 FIREFIGHTING WORKERS33–2010 Fire Fighters

33–2011 Fire Fighters33–2020 Fire Inspectors

33–2021 Fire Inspectors and Investigators33–2022 Forest Fire Inspectors and Prevention Specialists

33–3000 LAW ENFORCEMENT WORKERS33–3010 Bailiffs, Correctional Officers, and Jailers

33–3011 Bailiffs33–3012 Correctional Officers and Jailers

33–3020 Detectives and Criminal Investigators33–3021 Detectives and Criminal Investigators

33–3030 Fish and Game Wardens33–3031 Fish and Game Wardens

33–3040 Parking Enforcement Workers33–3041 Parking Enforcement Workers

33–3050 Police Officers33–3051 Police and Sheriff’s Patrol Officers33–3052 Transit and Railroad Police

33–9000 OTHER PROTECTIVE SERVICE WORKERS33–9010 Animal Control Workers

33–9011 Animal Control Workers33–9020 Private Detectives and Investigators

33–9021 Private Detectives and Investigators33–9030 Security Guards

33–9031 Security Guards33–9090 Miscellaneous Protective Service Workers

33–9091 Crossing Guards33–9092 Lifeguards, Ski Patrol, and Other Recreational Protective Service Workers33–9099 Protective Service Workers, All Other

35–0000 FOOD PREPARATION AND SERVING RELATED OCCUPATIONS35–1000 SUPERVISORS, FOOD PREPARATION AND FOOD SERVING WORKERS

35–1010 First-Line Supervisors/Managers, Food Preparation and Food Serving Workers35–1011 Chefs and Head Cooks35–1012 First-Line Supervisors/Managers of Food Preparation and Serving Workers

35–2000 COOKS AND FOOD PREPARATION WORKERS35–2010 Cooks

35–2011 Cooks, Fast Food35–2012 Cooks, Institution and Cafeteria35–2013 Cooks, Private Household35–2014 Cooks, Restaurant35–2015 Cooks, Short Order35–2019 Cooks, All Other

35–2020 Food Preparation Workers35–2021 Food Preparation Workers

35–3000 FOOD AND BEVERAGE SERVING WORKERS35–3010 Bartenders

35–3011 Bartenders35–3020 Fast Food and Counter Workers

35–3021 Combined Food Preparation and Serving Workers, Including Fast Food35–3022 Counter Attendants, Cafeteria, Food Concession, and Coffee Shop

35–3030 Waiters and Waitresses35–3031 Waiters and Waitresses

35–3040 Food Servers, Nonrestaurant35–3041 Food Servers, Nonrestaurant

35–9000 OTHER FOOD PREPARATION AND SERVING RELATED WORKERS35–9010 Dining Room and Cafeteria Attendants and Bartender Helpers

35–9011 Dining Room and Cafeteria Attendants and Bartender Helpers35–9020 Dishwashers

35–9021 Dishwashers35–9030 Hosts and Hostesses, Restaurant, Lounge, and Coffee Shop

35–9031 Hosts and Hostesses, Restaurant, Lounge, and Coffee Shop35–9090 Miscellaneous Food Preparation and Serving Related Workers

35–9099 Food Preparation and Serving Related Workers, All Other37–0000 BUILDING AND GROUNDS CLEANING AND MAINTENANCE OCCUPATIONS

37–1000 SUPERVISORS, BUILDING AND GROUNDS CLEANING AND MAINTENANCE WORKERS37–1010 First-Line Supervisors/Managers, Building and Grounds Cleaning and Maintenance Workers

37–1011 First-Line Supervisors/Managers of Housekeeping and Janitorial Workers37–1012 First-Line Supervisors/Managers of Landscaping, Lawn Service, and Groundskeeping Workers

37–2000 BUILDING CLEANING AND PEST CONTROL WORKERS37–2010 Building Cleaning Workers

37–2011 Janitors and Cleaners, Except Maids and Housekeeping Cleaners37–2012 Maids and Housekeeping Cleaners37–2019 Building Cleaning Workers, All Other

37–2020 Pest Control Workers37–2021 Pest Control Workers


37–3000 GROUNDS MAINTENANCE WORKERS37–3010 Grounds Maintenance Workers

37–3011 Landscaping and Groundskeeping Workers37–3012 Pesticide Handlers, Sprayers, and Applicators, Vegetation37–3013 Tree Trimmers and Pruners37–3019 Grounds Maintenance Workers, All Other

39–0000 PERSONAL CARE AND SERVICE OCCUPATIONS39–1000 SUPERVISORS, PERSONAL CARE AND SERVICE WORKERS

39–1010 First-Line Supervisors/Managers of Gaming Workers39–1011 First-Line Supervisors/Managers of Gaming Workers

39–1020 First-Line Supervisors/Managers of Personal Service Workers39–1021 First-Line Supervisors/Managers of Personal Service Workers

39–2000 ANIMAL CARE AND SERVICE WORKERS39–2010 Animal Trainers

39–2011 Animal Trainers39–2020 Nonfarm Animal Caretakers

39–2021 Nonfarm Animal Caretakers39–3000 ENTERTAINMENT ATTENDANTS AND RELATED WORKERS

39–3010 Gaming Workers39–3011 Games of Chance Attendants39–3012 Gaming Dealers39–3013 Mutuel Cashiers and Games of Chance Writers

39–3020 Motion Picture Projectionists39–3021 Motion Picture Projectionists

39–3030 Ushers, Lobby Attendants, and Ticket Takers39–3031 Ushers, Lobby Attendants, and Ticket Takers

39–3090 Miscellaneous Entertainment Attendants and Related Workers39–3091 Amusement and Recreation Attendants39–3092 Costume Attendants39–3093 Locker Room, Coatroom, and Dressing Room Attendants39–3099 Entertainment Attendants and Related Workers, All Other

39–4000 FUNERAL SERVICE WORKERS39–4010 Embalmers

39–4011 Embalmers39–4020 Funeral Attendants

39–4021 Funeral Attendants39–5000 PERSONAL APPEARANCE WORKERS

39–5010 Barbers and Cosmetologists39–5011 Barbers39–5012 Hairdressers, Hairstylists, and Cosmetologists

39–5090 Miscellaneous Personal Appearance Workers39–5091 Makeup Artists, Theatrical and Performance39–5092 Manicurists and Pedicurists39–5093 Shampooers39–5094 Skin Care Specialists

39–6000 TRANSPORTATION, TOURISM, AND LODGING ATTENDANTS39–6010 Baggage Porters, Bellhops, and Concierges

39–6011 Baggage Porters and Bellhops39–6012 Concierges

39–6020 Tour and Travel Guides39–6021 Tour Guides and Escorts39–6022 Travel Guides

39–6030 Transportation Attendants39–6031 Flight Attendants39–6032 Transportation Attendants, Except Flight Attendants and Baggage Porters

39–9000 OTHER PERSONAL CARE AND SERVICE WORKERS39–9010 Child Care Workers

39–9011 Child Care Workers39–9020 Massage Therapists

39–9021 Massage Therapists39–9030 Personal and Home Care Aides

39–9031 Personal and Home Care Aides39–9040 Recreation and Fitness Workers

39–9041 Fitness Trainers and Aerobics Instructors39–9042 Recreation Workers

39–9050 Residential Advisors39–9051 Residential Advisors

39–9090 Miscellaneous Personal Care and Service Workers39–9099 Personal Care and Service Workers, All Other

41–0000 SALES AND RELATED OCCUPATIONS41–1000 SUPERVISORS, SALES WORKERS

41–1010 First-Line Supervisors/Managers, Sales Workers41–1011 First-Line Supervisors/Managers of Retail Sales Workers41–1012 First-Line Supervisors/Managers of Non-Retail Sales Workers

41–2000 RETAIL SALES WORKERS41–2010 Cashiers


41–2011 Cashiers41–2020 Counter and Rental Clerks and Parts Salespersons

41–2021 Counter and Rental Clerks41–2022 Parts Salespersons

41–2030 Retail Salespersons41–2031 Retail Salespersons

41–3000 SALES REPRESENTATIVES, SERVICES41–3010 Advertising Sales Agents

41–3011 Advertising Sales Agents41–3020 Insurance Sales Agents

41–3021 Insurance Sales Agents41–3030 Securities, Commodities, and Financial Services Sales Agents

41–3031 Securities, Commodities, and Financial Services Sales Agents41–3040 Travel Agents

41–3041 Travel Agents41–3090 Miscellaneous Sales Representatives, Services

41–3099 Sales Representatives, Services, All Other41–4000 SALES REPRESENTATIVES, WHOLESALE AND MANUFACTURING

41–4010 Sales Representatives, Wholesale and Manufacturing41–4011 Sales Representatives, Wholesale and Manufacturing, Technical and Scientific Products41–4012 Sales Representatives, Wholesale and Manufacturing, Except Technical and Scientific Products

41–9000 OTHER SALES AND RELATED WORKERS41–9010 Models, Demonstrators, and Product Promoters

41–9011 Demonstrators and Product Promoters41–9012 Models

41–9020 Real Estate Brokers and Sales Agents41–9021 Real Estate Brokers41–9022 Real Estate Sales Agents

41–9030 Sales Engineers41–9031 Sales Engineers

41–9040 Telemarketers41–9041 Telemarketers

41–9090 Miscellaneous Sales and Related Workers41–9091 Door-to-Door Sales Workers, News and Street Vendors, and Related Workers41–9099 Sales and Related Workers, All Other

43–0000 OFFICE AND ADMINISTRATIVE SUPPORT OCCUPATIONS43–1000 SUPERVISORS, OFFICE AND ADMINISTRATIVE SUPPORT WORKERS

43–1010 First-Line Supervisors/Managers of Office and Administrative Support Workers43–1011 First-Line Supervisors/Managers of Office and Administrative Support Workers

43–2000 COMMUNICATIONS EQUIPMENT OPERATORS43–2010 Switchboard Operators, Including Answering Service

43–2011 Switchboard Operators, Including Answering Service43–2020 Telephone Operators

43–2021 Telephone Operators43–2090 Miscellaneous Communications Equipment Operators

43–2099 Communications Equipment Operators, All Other43–3000 FINANCIAL CLERKS

43–3010 Bill and Account Collectors43–3011 Bill and Account Collectors

43–3020 Billing and Posting Clerks and Machine Operators43–3021 Billing and Posting Clerks and Machine Operators

43–3030 Bookkeeping, Accounting, and Auditing Clerks43–3031 Bookkeeping, Accounting, and Auditing Clerks

43–3040 Payroll and Timekeeping Clerks43–3041 Payroll and Timekeeping Clerks

43–3050 Procurement Clerks43–3051 Procurement Clerks

43–3060 Tellers43–3061 Tellers

43–4000 INFORMATION AND RECORD CLERKS43–4010 Brokerage Clerks

43–4011 Brokerage Clerks43–4020 Correspondence Clerks

43–4021 Correspondence Clerks43–4030 Court, Municipal, and License Clerks

43–4031 Court, Municipal, and License Clerks43–4040 Credit Authorizers, Checkers, and Clerks

43–4041 Credit Authorizers, Checkers, and Clerks43–4050 Customer Service Representatives

43–4051 Customer Service Representatives43–4060 Eligibility Interviewers, Government Programs

43–4061 Eligibility Interviewers, Government Programs43–4070 File Clerks

43–4071 File Clerks43–4080 Hotel, Motel, and Resort Desk Clerks

43–4081 Hotel, Motel, and Resort Desk Clerks


43–4110 Interviewers, Except Eligibility and Loan43–4111 Interviewers, Except Eligibility and Loan

43–4120 Library Assistants, Clerical43–4121 Library Assistants, Clerical

43–4130 Loan Interviewers and Clerks43–4131 Loan Interviewers and Clerks

43–4140 New Accounts Clerks43–4141 New Accounts Clerks

43–4150 Order Clerks43–4151 Order Clerks

43–4160 Personnel Assistants, Except Payroll and Timekeeping43–4161 Personnel Assistants, Except Payroll and Timekeeping

43–4170 Receptionists and Information Clerks43–4171 Receptionists and Information Clerks

43–4180 Reservation and Transportation Ticket Agents and Travel Clerks43–4181 Reservation and Transportation Ticket Agents and Travel Clerks

43–4190 Miscellaneous Information and Record Clerks43–4199 Information and Record Clerks, All Other

43–5000 MATERIAL RECORDING, SCHEDULING, DISPATCHING, AND DISTRIBUTING WORKERS43–5010 Cargo and Freight Agents

43–5011 Cargo and Freight Agents43–5020 Couriers and Messengers

43–5021 Couriers and Messengers43–5030 Dispatchers

43–5031 Police, Fire, and Ambulance Dispatchers43–5032 Dispatchers, Except Police, Fire, and Ambulance

43–5040 Meter Readers, Utilities43–5041 Meter Readers, Utilities

43–5050 Postal Service Workers43–5051 Postal Service Clerks43–5052 Postal Service Mail Carriers43–5053 Postal Service Mail Sorters, Processors, and Processing Machine Operators

43–5060 Production, Planning, and Expediting Clerks43–5061 Production, Planning, and Expediting Clerks

43–5070 Shipping, Receiving, and Traffic Clerks43–5071 Shipping, Receiving, and Traffic Clerks

43–5080 Stock Clerks and Order Fillers43–5081 Stock Clerks and Order Fillers

43–5110 Weighers, Measurers, Checkers, and Samplers, Recordkeeping43–5111 Weighers, Measurers, Checkers, and Samplers, Recordkeeping

43–6000 SECRETARIES AND ADMINISTRATIVE ASSISTANTS43–6010 Secretaries and Administrative Assistants

43–6011 Executive Secretaries and Administrative Assistants43–6012 Secretaries, Legal43–6013 Secretaries, Medical43–6019 Secretaries, All Other

43–9000 OTHER OFFICE AND ADMINISTRATIVE SUPPORT WORKERS43–9010 Computer Operators

43–9011 Computer Operators43–9020 Data Entry and Information Processing Workers

43–9021 Data Entry Keyers43–9022 Word Processors and Typists

43–9030 Desktop Publishers43–9031 Desktop Publishers

43–9040 Insurance Claims and Policy Processing Clerks43–9041 Insurance Claims and Policy Processing Clerks

43–9050 Mail Clerks and Mail Machine Operators, Except Postal Service43–9051 Mail Clerks and Mail Machine Operators, Except Postal Service

43–9060 Office Clerks, General43–9061 Office Clerks, General

43–9070 Office Machine Operators, Except Computer43–9071 Office Machine Operators, Except Computer

43–9080 Proofreaders and Copy Markers43–9081 Proofreaders and Copy Markers

43–9110 Statistical Assistants43–9111 Statistical Assistants

43–9190 Miscellaneous Office and Administrative Support Workers43–9199 Office and Administrative Support Workers, All Other

45–0000 FARMING, FISHING, AND FORESTRY OCCUPATIONS45–1000 SUPERVISORS, FARMING, FISHING, AND FORESTRY WORKERS

45–1010 First-Line Supervisors/Managers of Farming, Fishing, and Forestry Workers45–1011 First-Line Supervisors/Managers of Farming, Fishing, and Forestry Workers

45–2000 AGRICULTURAL WORKERS45–2010 Agricultural Inspectors

45–2011 Agricultural Inspectors45–2020 Animal Breeders


45–2021 Animal Breeders45–2030 Farm Labor Contractors

45–2031 Farm Labor Contractors45–2040 Graders and Sorters, Agricultural Products

45–2041 Graders and Sorters, Agricultural Products45–2090 Miscellaneous Agricultural Workers

45–2091 Agricultural Equipment Operators45–2092 Farmworkers and Laborers, Crop, Nursery, and Greenhouse45–2093 Farmworkers, Farm and Ranch Animals45–2099 Agricultural Workers, All Other

45–3000 FISHING AND HUNTING WORKERS45–3010 Fishers and Related Fishing Workers

45–3011 Fishers and Related Fishing Workers45–3020 Hunters and Trappers

45–3021 Hunters and Trappers45–4000 FOREST, CONSERVATION, AND LOGGING WORKERS

45–4010 Forest and Conservation Workers45–4011 Forest and Conservation Workers

45–4020 Logging Workers45–4021 Fallers45–4022 Logging Equipment Operators45–4023 Log Graders and Scalers45–4029 Logging Workers, All Other

45–9000 OTHER FARMING, FISHING, AND FORESTRY WORKERS45–9090 Miscellaneous Farming, Fishing, and Forestry Workers

45–9099 Farming, Fishing, and Forestry Workers, All Other47–0000 CONSTRUCTION AND EXTRACTION OCCUPATIONS

47–1000 SUPERVISORS, CONSTRUCTION AND EXTRACTION WORKERS47–1010 First-Line Supervisors/Managers of Construction Trades and Extraction Workers

47–1011 First-Line Supervisors/Managers of Construction Trades and Extraction Workers47–2000 CONSTRUCTION TRADES WORKERS

47–2010 Boilermakers47–2011 Boilermakers

47–2020 Brickmasons, Blockmasons, and Stonemasons47–2021 Brickmasons and Blockmasons47–2022 Stonemasons

47–2030 Carpenters47–2031 Carpenters

47–2040 Carpet, Floor, and Tile Installers and Finishers47–2041 Carpet Installers47–2042 Floor Layers, Except Carpet, Wood, and Hard Tiles47–2043 Floor Sanders and Finishers47–2044 Tile and Marble Setters

47–2050 Concrete Finishers, Cement Masons, and Terrazzo Workers47–2051 Concrete Finishers and Cement Masons47–2052 Terrazzo Workers and Finishers

47–2060 Construction Craft Laborers47–2061 Construction Craft Laborers

47–2070 Construction Equipment Operators47–2071 Paving, Surfacing, and Tamping Equipment Operators47–2072 Pile-Driver Operators47–2073 Operating Engineers and Other Construction Equipment Operators

47–2080 Drywall Installers, Ceiling Tile Installers, and Tapers47–2081 Drywall and Ceiling Tile Installers47–2082 Tapers

47–2110 Electricians47–2111 Electricians

47–2120 Glaziers47–2121 Glaziers

47–2130 Insulation Workers47–2131 Insulation Workers, Floor, Ceiling, and Wall47–2132 Insulation Workers, Mechanical

47–2140 Painters and Paperhangers47–2141 Painters, Construction and Maintenance47–2142 Paperhangers

47–2150 Pipelayers, Plumbers, Pipefitters, and Steamfitters47–2151 Pipelayers47–2152 Plumbers, Pipefitters, and Steamfitters

47–2160 Plasterers and Stucco Masons47–2161 Plasterers and Stucco Masons

47–2170 Reinforcing Iron and Rebar Workers47–2171 Reinforcing Iron and Rebar Workers

47–2180 Roofers47–2181 Roofers

47–2210 Sheet Metal Workers47–2211 Sheet Metal Workers


47–2220 Structural Iron and Steel Workers47–2221 Structural Iron and Steel Workers

47–3000 HELPERS, CONSTRUCTION TRADES47–3010 Helpers, Construction Trades

47–3011 Helpers—Brickmasons, Blockmasons, Stonemasons, and Tile and Marble Setters47–3012 Helpers—Carpenters47–3013 Helpers—Electricians47–3014 Helpers—Painters, Paperhangers, Plasterers, and Stucco Masons47–3015 Helpers—Pipelayers, Plumbers, Pipefitters, and Steamfitters47–3016 Helpers—Roofers47–3019 Helpers, Construction Trades, All Other

47–4000 OTHER CONSTRUCTION AND RELATED WORKERS47–4010 Construction and Building Inspectors

47–4011 Construction and Building Inspectors47–4020 Elevator Installers and Repairers

47–4021 Elevator Installers and Repairers47–4030 Fence Erectors

47–4031 Fence Erectors47–4040 Hazardous Materials Removal Workers

47–4041 Hazardous Materials Removal Workers47–4050 Highway Maintenance Workers

47–4051 Highway Maintenance Workers47–4060 Rail-track Laying and Maintenance Equipment Operators

47–4061 Rail-track Laying and Maintenance Equipment Operators47–4070 Septic Tank Servicers and Sewer Pipe Cleaners

47–4071 Septic Tank Servicers and Sewer Pipe Cleaners47–4090 Miscellaneous Construction and Related Workers

47–4099 Construction and Related Workers, All Other47–5000 EXTRACTION WORKERS

47–5010 Derrick, Rotary Drill, and Service Unit Operators, Oil, Gas, and Mining47–5011 Derrick Operators, Oil and Gas47–5012 Rotary Drill Operators, Oil and Gas47–5013 Service Unit Operators, Oil, Gas, and Mining

47–5020 Earth Drillers, Except Oil and Gas47–5021 Earth Drillers, Except Oil and Gas

47–5030 Explosives Workers, Ordnance Handling Experts, and Blasters47–5031 Explosives Workers, Ordnance Handling Experts, and Blasters

47–5040 Mining Machine Operators47–5041 Continuous Mining Machine Operators47–5042 Mine Cutting and Channeling Machine Operators47–5049 Mining Machine Operators, All Other

47–5050 Rock Splitters, Quarry47–5051 Rock Splitters, Quarry

47–5060 Roof Bolters, Mining47–5061 Roof Bolters, Mining

47–5070 Roustabouts, Oil and Gas47–5071 Roustabouts, Oil and Gas

47–5080 Helpers—Extraction Workers47–5081 Helpers—Extraction Workers

47–5090 Miscellaneous Extraction Workers47–5099 Extraction Workers, All Other

49–0000 INSTALLATION, MAINTENANCE, AND REPAIR OCCUPATIONS49–1000 SUPERVISORS OF MECHANICS, INSTALLERS, AND REPAIRERS

49–1010 First-Line Supervisors/Managers of Mechanics, Installers, and Repairers49–1011 First-Line Supervisors/Managers of Mechanics, Installers, and Repairers

49–2000 ELECTRICAL AND ELECTRONIC EQUIPMENT MECHANICS, INSTALLERS, AND REPAIRERS49–2010 Computer, Automated Teller, and Office Machine Repairers

49–2011 Computer, Automated Teller, and Office Machine Repairers49–2020 Radio and Telecommunications Equipment Installers and Repairers

49–2021 Radio Mechanics49–2022 Telecommunications Equipment Installers and Repairers, Except Line Installers

49–2090 Miscellaneous Electrical and Electronic Equipment Mechanics, Installers, and Repairers49–2091 Avionics Technicians49–2092 Electric Motor, Power Tool, and Related Repairers49–2093 Electrical and Electronics Installers and Repairers, Transportation Equipment49–2094 Electrical and Electronics Repairers, Commercial and Industrial Equipment49–2095 Electrical and Electronics Repairers, Powerhouse, Substation, and Relay49–2096 Electronic Equipment Installers and Repairers, Motor Vehicles49–2097 Electronic Home Entertainment Equipment Installers and Repairers49–2098 Security and Fire Alarm Systems Installers

49–3000 VEHICLE AND MOBILE EQUIPMENT MECHANICS, INSTALLERS, AND REPAIRERS49–3010 Aircraft Mechanics and Service Technicians

49–3011 Aircraft Mechanics and Service Technicians49–3020 Automotive Mechanics and Repairers

49–3021 Automotive Body and Related Repairers49–3022 Automotive Glass Installers and Repairers


49–3023 Automotive Mechanics and Service Technicians49–3030 Engine Mechanics, Except Aircraft and Automotive

49–3031 Bus and Truck Mechanics and Diesel Engine Specialists49–3032 Motorcycle Mechanics49–3033 Small Engine Mechanics

49–3090 Miscellaneous Vehicle and Mobile Equipment Mechanics, Installers, and Repairers49–3091 Bicycle Repairers49–3092 Farm Equipment Mechanics49–3093 Mobile Heavy Equipment Mechanics, Except Engines49–3094 Rail Car Repairers49–3095 Recreational Vehicle Service Technicians49–3096 Tire Repairers and Changers

49–9000 OTHER INSTALLATION, MAINTENANCE, AND REPAIR OCCUPATIONS49–9010 Control and Valve Installers and Repairers

49–9011 Mechanical Door Repairers49–9019 Control and Valve Installers and Repairers, All Other

49–9020 Heating, Air Conditioning, and Refrigeration Mechanics and Installers49–9021 Heating, Air Conditioning, and Refrigeration Mechanics and Installers

49–9030 Home Appliance Repairers49–9031 Home Appliance Repairers

49–9040 Industrial Machinery Installation, Repair, and Maintenance Workers49–9041 Industrial Machinery Mechanics49–9042 Maintenance and Repair Workers, General49–9043 Maintenance Workers, Machinery49–9044 Millwrights49–9045 Refractory Materials Repairers, Except Brickmasons

49–9050 Line Installers and Repairers49–9051 Electrical Power-line Installers and Repairers49–9052 Telecommunications Line Installers and Repairers

49–9060 Precision Instrument and Equipment Repairers49–9061 Camera and Photographic Equipment Repairers49–9062 Medical Equipment Repairers49–9063 Musical Instrument Repairers and Tuners49–9064 Watch Repairers49–9069 Precision Instrument and Equipment Repairers, All Other

49–9090 Miscellaneous Installation, Maintenance, and Repair Workers49–9091 Coin, Vending, and Amusement Machine Servicers and Repairers49–9092 Commercial Divers49–9093 Fabric Menders, Except Garment49–9094 Locksmiths and Safe Repairers49–9095 Manufactured Building and Mobile Home Installers49–9096 Riggers49–9097 Signal and Track Switch Repairers49–9098 Helpers—Installation, Maintenance, and Repair Workers49–9099 Installation, Maintenance, and Repair Workers, All Other

51–0000 PRODUCTION OCCUPATIONS51–1000 SUPERVISORS, PRODUCTION AND OPERATING WORKERS

51–1010 First-Line Supervisors/Managers of Production and Operating Workers51–1011 First-Line Supervisors/Managers of Production and Operating Workers

51–2000 ASSEMBLERS AND FABRICATORS51–2010 Aircraft Structure, Surfaces, Rigging, and Systems Assemblers

51–2011 Aircraft Structure, Surfaces, Rigging, and Systems Assemblers51–2020 Electrical, Electronics, and Electromechanical Assemblers

51–2021 Coil Winders, Tapers, and Finishers51–2022 Electrical and Electronic Equipment Assemblers51–2023 Electromechanical Equipment Assemblers

51–2030 Engine and Other Machine Assemblers51–2031 Engine and Other Machine Assemblers

51–2040 Structural Metal Fabricators and Fitters51–2041 Structural Metal Fabricators and Fitters

51–2090 Miscellaneous Assemblers and Fabricators51–2091 Fiberglass Laminators and Fabricators51–2092 Team Assemblers51–2093 Timing Device Assemblers, Adjusters, and Calibrators51–2099 Assemblers and Fabricators, All Other

51–3000 FOOD PROCESSING WORKERS51–3010 Bakers

51–3011 Bakers51–3020 Butchers and Other Meat, Poultry, and Fish Processing Workers

51–3021 Butchers and Meat Cutters51–3022 Meat, Poultry, and Fish Cutters and Trimmers51–3023 Slaughterers and Meat Packers

51–3090 Miscellaneous Food Processing Workers51–3091 Food and Tobacco Roasting, Baking, and Drying Machine Operators and Tenders51–3092 Food Batchmakers51–3093 Food Cooking Machine Operators and Tenders


51–4000 METALWORKERS AND PLASTIC WORKERS51–4010 Computer Control Programmers and Operators

51–4011 Computer-controlled Machine Tool Operators, Metal and Plastic51–4012 Numerical Tool and Process Control Programmers

51–4020 Machine Forming Setters, Operators, and Tenders, Metal and Plastic51–4021 Extruding and Drawing Machine Setters, Operators, and Tenders, Metal and Plastic51–4022 Forging Machine Setters, Operators, and Tenders, Metal and Plastic51–4023 Rolling Machine Setters, Operators, and Tenders, Metal and Plastic

51–4030 Machine Tool Cutting Setters, Operators, and Tenders, Metal and Plastic51–4031 Cutting, Punching, and Press Machine Setters, Operators, and Tenders, Metal and Plastic51–4032 Drilling and Boring Machine Tool Setters, Operators, and Tenders, Metal and Plastic51–4033 Grinding, Lapping, Polishing, and Buffing Machine Tool Setters, Operators, and Tenders, Metal and Plastic51–4034 Lathe and Turning Machine Tool Setters, Operators, and Tenders, Metal and Plastic51–4035 Milling and Planing Machine Setters, Operators, and Tenders, Metal and Plastic

51–4040 Machinists51–4041 Machinists

51–4050 Metal Furnace and Kiln Operators and Tenders51–4051 Metal-refining Furnace Operators and Tenders51–4052 Pourers and Casters, Metal

51–4060 Model Makers and Patternmakers, Metal and Plastic51–4061 Model Makers, Metal and Plastic51–4062 Patternmakers, Metal and Plastic

51–4070 Molders and Molding Machine Setters, Operators, and Tenders, Metal and Plastic51–4071 Foundry Mold and Coremakers51–4072 Molding, Coremaking, and Casting Machine Setters, Operators, and Tenders, Metal and Plastic

51–4080 Multiple Machine Tool Setters, Operators, and Tenders, Metal and Plastic51–4081 Multiple Machine Tool Setters, Operators, and Tenders, Metal and Plastic

51–4110 Tool and Die Makers51–4111 Tool and Die Makers

51–4120 Welding, Soldering, and Brazing Workers51–4121 Welders, Cutters, Solderers, and Brazers51–4122 Welding, Soldering, and Brazing Machine Setters, Operators, and Tenders

51–4190 Miscellaneous Metalworkers and Plastic Workers51–4191 Heat Treating Equipment Setters, Operators, and Tenders, Metal and Plastic51–4192 Lay-out Workers, Metal and Plastic51–4193 Plating and Coating Machine Setters, Operators, and Tenders, Metal and Plastic51–4194 Tool Grinders, Filers, and Sharpeners51–4199 Metalworkers and Plastic Workers, All Other

51–5000 PRINTING WORKERS51–5010 Bookbinders and Bindery Workers

51–5011 Bindery Workers51–5012 Bookbinders

51–5020 Printers51–5021 Job Printers51–5022 Prepress Technicians and Workers51–5023 Printing Machine Operators

51–6000 TEXTILE, APPAREL, AND FURNISHINGS WORKERS51–6010 Laundry and Dry-cleaning Workers

51–6011 Laundry and Dry-cleaning Workers51–6020 Pressers, Textile, Garment, and Related Materials

51–6021 Pressers, Textile, Garment, and Related Materials51–6030 Sewing Machine Operators

51–6031 Sewing Machine Operators51–6040 Shoe Workers

51–6041 Shoe and Leather Workers and Repairers51–6042 Shoe Machine Operators and Tenders

51–6050 Tailors, Dressmakers, and Sewers51–6051 Sewers, Hand51–6052 Tailors, Dressmakers, and Custom Sewers

51–6060 Textile Machine Setters, Operators, and Tenders51–6061 Textile Bleaching and Dyeing Machine Operators and Tenders51–6062 Textile Cutting Machine Setters, Operators, and Tenders51–6063 Textile Knitting and Weaving Machine Setters, Operators, and Tenders51–6064 Textile Winding, Twisting, and Drawing Out Machine Setters, Operators, and Tenders

51–6090 Miscellaneous Textile, Apparel, and Furnishings Workers51–6091 Extruding and Forming Machine Setters, Operators, and Tenders, Synthetic and Glass Fibers51–6092 Fabric and Apparel Patternmakers51–6093 Upholsterers51–6099 Textile, Apparel, and Furnishings Workers, All Other

51–7000 WOODWORKERS51–7010 Cabinetmakers and Bench Carpenters

51–7011 Cabinetmakers and Bench Carpenters51–7020 Furniture Finishers

51–7021 Furniture Finishers51–7030 Model Makers and Patternmakers, Wood

51–7031 Model Makers, Wood


51–7032 Patternmakers, Wood51–7040 Woodworking Machine Setters, Operators, and Tenders

51–7041 Sawing Machine Setters, Operators, and Tenders, Wood51–7042 Woodworking Machine Setters, Operators, and Tenders, Except Sawing

51–7090 Miscellaneous Woodworkers51–7099 Woodworkers, All Other

51–8000 PLANT AND SYSTEM OPERATORS51–8010 Power Plant Operators, Distributors, and Dispatchers

51–8011 Nuclear Power Reactor Operators51–8012 Power Distributors and Dispatchers51–8013 Power Plant Operators

51–8020 Stationary Engineers and Boiler Operators51–8021 Stationary Engineers and Boiler Operators

51–8030 Water and Liquid Waste Treatment Plant and System Operators51–8031 Water and Liquid Waste Treatment Plant and System Operators

51–8090 Miscellaneous Plant and System Operators51–8091 Chemical Plant and System Operators51–8092 Gas Plant Operators51–8093 Petroleum Pump System Operators, Refinery Operators, and Gaugers51–8099 Plant and System Operators, All Other

51–9000 OTHER PRODUCTION OCCUPATIONS51–9010 Chemical Processing Machine Setters, Operators, and Tenders

51–9011 Chemical Equipment Operators and Tenders51–9012 Separating, Filtering, Clarifying, Precipitating, and Still Machine Setters, Operators, and Tenders

51–9020 Crushing, Grinding, Polishing, Mixing, and Blending Workers51–9021 Crushing, Grinding, and Polishing Machine Setters, Operators, and Tenders51–9022 Grinding and Polishing Workers, Hand51–9023 Mixing and Blending Machine Setters, Operators, and Tenders

51–9030 Cutting Workers51–9031 Cutters and Trimmers, Hand51–9032 Cutting and Slicing Machine Setters, Operators, and Tenders

51–9040 Extruding, Forming, Pressing, and Compacting Machine Setters, Operators, and Tenders51–9041 Extruding, Forming, Pressing, and Compacting Machine Setters, Operators, and Tenders

51–9050 Furnace, Kiln, Oven, Drier, and Kettle Operators and Tenders51–9051 Furnace, Kiln, Oven, Drier, and Kettle Operators and Tenders

51–9060 Inspectors, Testers, Sorters, Samplers, and Weighers51–9061 Inspectors, Testers, Sorters, Samplers, and Weighers

51–9070 Jewelers and Precious Stone and Metal Workers51–9071 Jewelers and Precious Stone and Metal Workers

51–9080 Medical, Dental, and Ophthalmic Laboratory Technicians51–9081 Dental Laboratory Technicians51–9082 Medical Appliance Technicians51–9083 Ophthalmic Laboratory Technicians

51–9110 Packaging and Filling Machine Operators and Tenders51–9111 Packaging and Filling Machine Operators and Tenders

51–9120 Painting Workers51–9121 Coating, Painting, and Spraying Machine Setters, Operators, and Tenders51–9122 Painters, Transportation Equipment51–9123 Painting, Coating, and Decorating Workers

51–9130 Photographic Process Workers and Processing Machine Operators51–9131 Photographic Process Workers51–9132 Photographic Processing Machine Operators

51–9140 Semiconductor Processors51–9141 Semiconductor Processors

51–9190 Miscellaneous Production Workers51–9191 Cementing and Gluing Machine Operators and Tenders51–9192 Cleaning, Washing, and Metal Pickling Equipment Operators and Tenders51–9193 Cooling and Freezing Equipment Operators and Tenders51–9194 Etchers and Engravers51–9195 Molders, Shapers, and Casters, Except Metal and Plastic51–9196 Paper Goods Machine Setters, Operators, and Tenders51–9197 Tire Builders51–9198 Helpers—Production Workers51–9199 Production Workers, All Other

53–0000 TRANSPORTATION AND MATERIAL MOVING OCCUPATIONS53–1000 SUPERVISORS, TRANSPORTATION AND MATERIAL MOVING WORKERS

53–1010 Aircraft Cargo Handling Supervisors53–1011 Aircraft Cargo Handling Supervisors

53–1020 First-Line Supervisors/Managers of Helpers, Laborers, and Material Movers, Hand53–1021 First-Line Supervisors/Managers of Helpers, Laborers, and Material Movers, Hand

53–1030 First-Line Supervisors/Managers of Transportation and Material-moving Machine and Vehicle Operators53–1031 First-Line Supervisors/Managers of Transportation and Material-moving Machine and Vehicle Operators

53–2000 AIR TRANSPORTATION WORKERS53–2010 Aircraft Pilots and Flight Engineers

53–2011 Airline Pilots, Copilots, and Flight Engineers53–2012 Commercial Pilots


53–2020 Air Traffic Controllers and Airfield Operations Specialists53–2021 Air Traffic Controllers53–2022 Airfield Operations Specialists

53–3000 MOTOR VEHICLE OPERATORS53–3010 Ambulance Drivers and Attendants, Except Emergency Medical Technicians

53–3011 Ambulance Drivers and Attendants, Except Emergency Medical Technicians53–3020 Bus Drivers

53–3021 Bus Drivers, Transit and Intercity53–3022 Bus Drivers, School

53–3030 Driver/Sales Workers and Truck Drivers53–3031 Driver/Sales Workers53–3032 Truck Drivers, Heavy and Tractor-trailer53–3033 Truck Drivers, Light or Delivery Services

53–3040 Taxi Drivers and Chauffeurs53–3041 Taxi Drivers and Chauffeurs

53–3090 Miscellaneous Motor Vehicle Operators53–3099 Motor Vehicle Operators, All Other

53–4000 RAIL TRANSPORTATION WORKERS53–4010 Locomotive Engineers and Operators

53–4011 Locomotive Engineers53–4012 Locomotive Firers53–4013 Rail Yard Engineers, Dinkey Operators, and Hostlers

53–4020 Railroad Brake, Signal, and Switch Operators53–4021 Railroad Brake, Signal, and Switch Operators

53–4030 Railroad Conductors and Yardmasters53–4031 Railroad Conductors and Yardmasters

53–4040 Subway and Streetcar Operators53–4041 Subway and Streetcar Operators

53–4090 Miscellaneous Rail Transportation Workers53–4099 Rail Transportation Workers, All Other

53–5000 WATER TRANSPORTATION WORKERS53–5010 Sailors and Marine Oilers

53–5011 Sailors and Marine Oilers53–5020 Ship and Boat Captains and Operators

53–5021 Captains, Mates, and Pilots of Water Vessels53–5022 Motorboat Operators

53–5030 Ship Engineers53–5031 Ship Engineers

53–6000 OTHER TRANSPORTATION WORKERS53–6010 Bridge and Lock Tenders

53–6011 Bridge and Lock Tenders53–6020 Parking Lot Attendants

53–6021 Parking Lot Attendants53–6030 Service Station Attendants

53–6031 Service Station Attendants53–6040 Traffic Technicians

53–6041 Traffic Technicians53–6050 Transportation Inspectors

53–6051 Transportation Inspectors53–6090 Miscellaneous Transportation Workers

53–6099 Transportation Workers, All Other53–7000 MATERIAL MOVING WORKERS

53–7010 Conveyor Operators and Tenders53–7011 Conveyor Operators and Tenders

53–7020 Crane and Tower Operators53–7021 Crane and Tower Operators

53–7030 Dredge, Excavating, and Loading Machine Operators53–7031 Dredge Operators53–7032 Excavating and Loading Machine and Dragline Operators53–7033 Loading Machine Operators, Underground Mining

53–7040 Hoist and Winch Operators53–7041 Hoist and Winch Operators

53–7050 Industrial Truck and Tractor Operators53–7051 Industrial Truck and Tractor Operators

53–7060 Laborers and Material Movers, Hand53–7061 Cleaners of Vehicles and Equipment53–7062 Laborers and Freight, Stock, and Material Movers, Hand53–7063 Machine Feeders and Offbearers53–7064 Packers and Packagers, Hand

53–7070 Pumping Station Operators53–7071 Gas Compressor and Gas Pumping Station Operators53–7072 Pump Operators, Except Wellhead Pumpers53–7073 Wellhead Pumpers

53–7080 Refuse and Recyclable Material Collectors53–7081 Refuse and Recyclable Material Collectors

53–7110 Shuttle Car Operators


53–7111 Shuttle Car Operators53–7120 Tank Car, Truck, and Ship Loaders

53–7121 Tank Car, Truck, and Ship Loaders53–7190 Miscellaneous Material Moving Workers

53–7199 Material Moving Workers, All Other55–0000 MILITARY SPECIFIC OCCUPATIONS

55–1000 MILITARY OFFICER SPECIAL AND TACTICAL OPERATIONS LEADERS/MANAGERS55–1010 Military Officer Special and Tactical Operations Leaders/Managers

55–1011 Air Crew Officers55–1012 Aircraft Launch and Recovery Officers55–1013 Armored Assault Vehicle Officers55–1014 Artillery and Missile Officers55–1015 Command and Control Center Officers55–1016 Infantry Officers55–1017 Special Forces Officers55–1019 Military Officer Special and Tactical Operations Leaders/Managers, All Other

55–2000 FIRST-LINE ENLISTED MILITARY SUPERVISORS/MANAGERS55–2010 First-Line Enlisted Military Supervisors/Managers

55–2011 First-Line Supervisors/Managers of Air Crew Members55–2012 First-Line Supervisors/Managers of Weapons Specialists/Crew Members55–2013 First-Line Supervisors/Managers of All Other Tactical Operations Specialists

55–3000 MILITARY ENLISTED TACTICAL OPERATIONS AND AIR/WEAPONS SPECIALISTS AND CREW MEMBERS55–3010 Military Enlisted Tactical Operations and Air/Weapons Specialists and Crew Members

55–3011 Air Crew Members55–3012 Aircraft Launch and Recovery Specialists55–3013 Armored Assault Vehicle Crew Members55–3014 Artillery and Missile Crew Members55–3015 Command and Control Center Specialists55–3016 Infantry55–3017 Radar and Sonar Technicians55–3018 Special Forces55–3019 Military Enlisted Tactical Operations and Air/Weapons Specialists and Crew Members, All Other

APPENDIX B: SOC Code Cross List—July 1997 SOC to July 1998 SOC

7/1997 7/199811–1001 11–101111–1002 11–102111–1003 11–103111–2001 11–301111–2002 11–201111–2003 11–302111–2011 11–303111–2012 11–303111–2021 11–304111–2022 11–304211–2029 11–304911–2031 11–305111–2041 11–202111–2042 11–202211–2051 11–203111–2052 11–306111–2053 11–307111–3011 11–901111–3012 11–901211–3021 11–902111–3031 11–903111–3032 11–903211–3033 11–903311–3039 11–903911–3041 11–904111–3042 11–905111–3043 11–907111–3044 11–908111–3045 11–911111–3046 11–912111–3047 11–913111–3048 11–914111–3999 11–919913–1001 13–101113–1002 13–102113–1002 13–102213–1002 13–102313–1003 13–1041

13–1004 13–105113–1005 11–906113–1011 13–106113–1012 13–106213–1013 13–106313–1019 13–106913–1021 13–108113–1022 13–111113–1023 13–112113–1099 13–119913–2001 13–201113–2002 13–202113–2003 13–203113–2004 13–204113–2011 13–205113–2012 13–205213–2021 13–205313–2031 13–207113–2032 13–207213–2041 13–208213–2099 13–209915–1001 15–101115–1002 15–102115–1011 15–103115–1012 15–103215–1021 15–104115–1022 15–106115–1023 15–107115–1031 15–108115–1032 15–105115–1039 15–105115–1099 15–109915–2001 15–201115–2002 15–202115–2003 15–203115–2004 15–204115–2099 15–301117–1001 17–101117–1011 17–102117–1012 17–102217–2001 17–201117–2002 17–2021

17–2003 17–203117–2004 17–204117–2005 17–205117–2006 17–206117–2011 17–207117–2012 17–207217–2021 17–208117–2031 17–211117–2032 17–211217–2041 17–212117–2042 17–213117–2043 17–214117–2044 17–215117–2045 17–216117–2046 17–217117–2099 17–219917–3011 17–301117–3012 17–301217–3013 17–301317–3019 17–301917–3021 17–301117–3031 17–302117–3032 17–302217–3033 17–302317–3034 17–302417–3035 17–302517–3036 17–302617–3037 17–302717–3039 17–302917–3041 17–303119–1011 19–101119–1012 19–101219–1013 19–101319–1021 19–102119–1022 19–102219–1023 19–102319–1029 19–102919–1031 19–103119–1032 19–103219–1041 19–104919–1099 19–109919–2001 19–2011


19–2002 19–202119–2003 19–203119–2004 19–204119–2011 19–204219–2012 19–204319–2021 19–203219–2022 19–201219–2099 19–209919–3001 19–309119–3002 19–301119–3003 19–309219–3004 19–309319–3011 19–302119–3012 19–302219–3021 19–309419–3031 19–303119–3032 19–303219–3039 19–303919–3041 19–304119–3042 19–305119–3099 19–309919–4001 19–401119–4002 19–402119–4003 19–403119–4004 19–409119–4005 19–409219–4006 19–409319–4007 19–404119–4008 19–405119–4011 19–406119–4099 19–409921–1001 29–101121–1011 29–102121–1012 29–102421–1013 29–102321–1014 29–102221–1019 29–102921–1021 29–103121–1022 29–104121–1023 29–105121–1031 29–106121–1032 29–106221–1033 29–106321–1034 29–106421–1035 29–106521–1036 29–106621–1037 29–106721–1039 29–106921–1041 29–107121–1042 29–108121–1043 29–111121–1051 29–112121–1052 29–112221–1053 29–112321–1054 29–112421–1055 29–112521–1056 29–112621–1057 29–112721–1059 29–112921–1061 29–113121–1099 29–119921–2001 29–203121–2011 29–201221–2012 29–201121–2021 29–202121–2031 29–203221–2032 29–203321–2033 29–203421–2041 29–205121–2042 29–204121–2043 29–206121–2044 29–207121–2045 29–208121–2046 29–205221–2047 29–205321–2048 29–2054

21–2051 29–205521–2052 29–205621–2099 29–209921–3001 31–909121–3002 31–101121–3003 31–909221–3004 31–101221–3011 31–201221–3012 31–201121–3021 31–909521–3022 31–909921–3031 31–202221–3032 31–202121–3041 31–101321–3099 31–909921–4001 29–909121–4002 29–909921–4003 31–909321–4011 29–901121–4012 29–901221–4021 29–209121–4999 29–909923–1011 21–101123–1012 21–101323–1013 21–101423–1014 21–101523–1019 21–101923–1021 21–102123–1022 21–102223–1023 21–102323–1029 21–102923–1031 21–109223–1032 39–904223–1033 21–109323–2001 21–201123–2002 21–202123–2099 21–209925–1001 23–102125–1002 23–102225–1011 47–401125–1012 13–206125–1013 29–901125–1013 29–901225–1014 13–208125–1019 13–103125–1019 45–201125–1021 23–102325–1022 23–209225–1023 23–101125–1024 23–201125–1025 23–209325–1999 23–209927–1001 25–201127–1002 25–201227–1003 25–202127–1004 25–202227–1005 25–203127–1006 25–204127–2001 25–101127–2011 25–102127–2012 25–102227–2021 25–103127–2022 25–103227–2031 25–104127–2032 25–104227–2033 25–104327–2041 25–105127–2042 25–105227–2043 25–105327–2044 25–105427–2051 25–106127–2052 25–106227–2053 25–106327–2054 25–106427–2055 25–105427–2056 25–1065

27–2057 25–106627–2058 25–106727–2059 25–106927–2061 25–107127–2062 25–107227–2071 25–108127–2072 25–108227–2081 25–111127–2082 25–111227–2083 25–111327–2091 25–112127–2092 25–112227–2093 25–112327–2094 25–112427–2095 25–112527–2096 25–112627–2101 25–119127–2102 25–119227–2103 25–119327–2109 25–119927–3001 25–301127–3002 25–302127–3003 25–303127–3099 25–309927–4011 25–401127–4012 25–401227–4013 25–401327–4021 25–402127–4022 25–403127–4022 25–412127–5001 25–901127–5002 21–101227–5003 25–902127–5004 25–903127–5005 27–202227–5006 25–904129–1011 27–101129–1012 27–101229–1013 27–101329–1014 27–101429–1019 27–101929–1021 27–202129–1022 27–202229–1023 27–202329–1031 27–201129–1032 27–203129–1032 27–203229–1033 27–204129–1034 27–204229–1035 27–201229–1039 27–209929–2001 27–301129–2001 27–301229–2002 27–302129–2003 27–401129–2004 27–403129–2005 27–304129–2006 27–403229–2007 27–309129–2008 39–302129–2011 27–402129–2012 27–303129–2013 27–401229–2014 27–302229–2015 27–401329–2021 27–304229–2022 27–304329–2099 27–309929–3001 27–102129–3002 27–102229–3003 27–102329–3004 27–102429–3005 27–102529–3006 17–101229–3007 27–102629–3008 27–1027


29–3099 27–102931–1001 41–101131–1002 41–101231–2001 41–201131–2002 41–202131–2003 41–901131–2004 41–909131–2005 41–901231–2006 41–202231–2011 41–902131–2012 41–902231–2021 41–203131–2022 41–903131–2031 41–301131–2032 41–302131–2033 41–303131–2034 41–304131–2039 41–309931–2041 41–401131–2042 41–401231–2051 41–904131–2999 none33–1001 43–101133–2001 43–301133–2011 13–107133–2012 13–107233–2021 43–903133–3001 43–201133–3002 43–202133–3099 43–209933–4001 43–302133–4002 43–303133–4003 43–304133–4004 43–305133–4005 43–306133–4005 43–414133–5001 43–401133–5002 43–402133–5003 43–403133–5004 43–404133–5005 43–405133–5006 43–406133–5007 43–407133–5008 43–408133–5011 43–411133–5012 43–413133–5013 43–415133–5014 43–416133–5015 43–417133–5016 43–418133–5099 43–419933–6001 23–209333–6001 31–909433–6002 43–902133–6003 43–902233–7001 43–501133–7002 43–503233–7003 43–504133–7004 43–503133–7005 43–505133–7006 43–505233–7007 43–505333–7008 43–506133–7011 43–507133–7012 43–508133–7013 43–511133–8001 43–601133–8002 43–601233–8003 43–601333–8099 43–601933–9001 43–901133–9002 43–502133–9003 43–905133–9004 43–906133–9005 43–907133–9006 43–9081

33–9007 43–911133–9999 43–919935–1001 33–102135–1011 33–101135–1012 33–101235–1099 33–109935–2001 33–201135–2011 33–202135–2012 33–202235–3001 33–301235–3002 33–302135–3011 33–305135–3012 33–305235–3021 33–301135–3022 33–303135–3023 33–909935–4001 33–901135–4002 33–909135–4003 33–909235–4004 33–304135–4005 33–902135–4006 33–903135–4999 33–909937–1001 35–101237–1002 35–101137–2011 35–201137–2012 35–201237–2013 35–201337–2014 35–201437–2015 35–201537–2021 35–202137–3001 35–301137–3002 35–901137–3011 35–302137–3012 35–302237–3021 35–304137–3022 35–303137–4001 35–902137–4002 35–903137–4999 35–909939–1001 37–101139–1002 37–101239–2001 37–201139–2002 37–201239–2003 37–202139–2099 37–201939–3001 37–301139–3002 37–301239–3003 37–301339–3099 37–301941–1001 39–101141–1002 39–102141–2001 39–309141–2002 39–309241–2011 39–301141–2012 39–301241–2013 39–301341–2021 39–303141–3001 39–501141–3002 39–501241–3002 39–509441–3003 39–509141–3004 39–509241–3005 39–509341–4001 39–601141–4002 39–601241–4003 39–603141–4004 39–603241–4005 39–602141–4006 39–602241–5001 39–901141–5002 39–402141–5003 39–309341–5004 39–902141–5005 11–906141–5005 39–4011

41–5006 39–903141–5007 39–905141–5999 39–909943–1001 45–101143–2001 39–201143–2002 31–909643–2002 39–202143–2099 none43–3001 45–202143–3002 45–204143–3003 45–203143–3011 45–209143–3012 45–209243–3013 45–209343–3099 45–209943–4001 45–301143–4002 45–302143–5001 45–401143–5011 45–402143–5012 45–402343–5019 45–402943–5999 45–909945–1001 47–101145–2001 47–201145–2011 47–202145–2012 47–202245–2021 47–203145–2022 47–204145–2031 47–205145–2032 47–205245–2041 47–207145–2041 47–207245–2041 47–207345–2042 47–206145–2051 47–208145–2052 47–208245–2061 47–211145–2062 49–209845–2063 47–402145–2064 47–403145–2071 47–204245–2072 47–204445–2081 47–204345–2082 47–212145–2083 47–404145–2084 47–405145–2091 47–213145–2092 47–213245–2101 47–214145–2102 47–214245–2111 47–215145–2112 47–215245–2121 47–216145–2122 47–406145–2123 47–217145–2124 47–218145–2125 47–407145–2126 47–221145–2127 47–222145–2131 47–301145–2132 47–301245–2133 47–301345–2134 47–301445–2135 47–301545–2136 47–301645–2139 47–301945–2199 47–301945–3011 47–501145–3012 47–501245–3013 47–501345–3021 47–502145–3022 47–503145–3031 47–504145–3032 47–504245–3039 47–504945–3041 47–5051


45–3042 47–506145–3043 47–507145–3044 47–508145–3099 47–509947–1001 49–101147–2001 49–201147–2002 49–202147–2003 49–202247–2011 49–209147–2012 49–209247–2013 49–209347–2013 49–209647–2014 49–209447–2014 49–209547–2015 49–209747–3001 49–301147–3002 49–302147–3003 49–302247–3004 49–302347–3005 49–309147–3006 49–303147–3007 49–309247–3008 49–309347–3011 49–303247–3012 49–309447–3013 49–309547–3014 49–303347–4001 49–906147–4002 49–909147–4004 49–905147–4005 49–909347–4006 49–902147–4007 49–903147–4008 49–904147–4011 49–909447–4012 49–904247–4013 49–904347–4014 49–909547–4015 49–901147–4016 49–906247–4017 49–904447–4018 49–906347–4022 49–904547–4023 49–909647–4024 49–909747–4025 49–905247–4026 49–309647–4027 49–906447–4028 49–909847–4999 49–909247–4999 49–909949–1001 51–101149–2001 51–201149–2002 51–202149–2011 51–202249–2012 51–202349–2021 51–203149–2022 51–209149–2023 51–209249–2024 51–209349–2099 51–209949–3001 51–301149–3011 51–302149–3012 51–302249–3013 51–302349–3021 51–309149–3022 51–309249–3023 51–309349–4001 51–401149–4002 51–403149–4003 51–403249–4004 51–402149–4005 51–402249–4006 51–403349–4007 51–419149–4008 51–4034

49–4011 51–419249–4012 51–404149–4013 51–405149–4014 51–403549–4021 51–406149–4022 51–406249–4031 51–407149–4032 51–407249–4033 51–408149–4034 51–401249–4035 51–419349–4036 51–405249–4037 51–402349–4038 51–204149–4041 51–411149–4042 51–419449–4051 51–412149–4052 51–412249–4099 51–419949–5001 51–501149–5002 51–501249–5003 43–902149–5004 51–502149–5005 51–502249–5006 51–502349–6001 51–609149–6002 51–609249–6003 51–601149–6004 51–602149–6005 51–603149–6006 51–604149–6007 51–604249–6011 51–605149–6012 51–605249–6021 51–606149–6022 51–606249–6023 51–606349–6024 51–606449–6025 51–609349–6099 51–609949–7001 51–701149–7002 51–702149–7011 51–703149–7012 51–703249–7021 51–704149–7022 51–704249–7099 51–709949–8001 51–809149–8002 51–809249–8003 51–809349–8011 51–801149–8012 51–801249–8013 51–801349–8021 51–802149–8022 51–803149–8099 51–809949–9001 51–919149–9002 51–901149–9003 51–919249–9004 51–912149–9005 51–919349–9006 51–902149–9007 51–903149–9008 51–903249–9011 51–908149–9012 51–919449–9013 51–904149–9014 51–905149–9015 51–902249–9016 51–906149–9017 51–907149–9018 51–908249–9021 51–902349–9022 51–919549–9023 51–908349–9024 51–9111

49–9025 51–912249–9026 51–912349–9027 51–919649–9031 51–913149–9032 51–913249–9041 51–914149–9042 51–901249–9043 51–919749–9044 51–919849–9999 51–919951–1001 53–101151–1002 53–102151–1003 53–103151–2011 53–201151–2012 53–201251–2021 53–202151–2022 53–202251–3001 53–301151–3011 53–302151–3012 53–302251–3021 53–303151–3022 53–304151–3031 53–303251–3032 53–303351–3099 53–309951–4011 53–401151–4012 53–401251–4013 53–401351–4021 53–402151–4022 53–403151–4023 53–404151–4099 53–409951–5001 53–601151–5002 53–501151–5011 53–502151–5012 53–502251–5021 53–503151–6001 53–602151–6002 53–603151–6003 53–604151–6004 53–605151–6005 53–606151–6099 53–609951–7001 53–701151–7002 53–702151–7003 53–719951–7011 53–703151–7012 53–703251–7013 53–703351–7021 53–704151–7022 45–402251–7022 53–705151–7023 53–706251–7024 53–706351–7031 53–707151–7032 53–707251–7033 53–707351–7041 53–708151–7042 53–711151–7043 53–712151–7044 53–706151–7099 53–719953–1001 55–101153–1002 55–101253–1003 55–101353–1004 55–101453–1005 55–101553–1006 55–101653–1007 55–101753–1099 55–101953–2001 55–201153–2002 55–201253–2003 55–201353–3001 55–301153–3002 55–301253–3003 55–3013


53–3004 55–301453–3005 55–301553–3006 55–301653–3007 55–301753–3008 55–301853–3099 55–3019

Appendix C: Respondents to the July 7,1997, Federal Register Notice

The SOCRPC received over 200comments from 194 differentindividuals and organizations. Theappendix below lists the names ofindividuals, employees of organizations,institutions, private companies,government agencies, and associationswho commented on the July 7, 1997,Federal Register Notice.Alameda Alliance for HealthAmerican Academy of AudiologyAmerican Association for Health EducationAmerican Association for Marriage and

Family TherapyAmerican Association for Medical

TranscriptionAmerican Association of Medical AssistantsAmerican College of EpidemiologyAmerican College of Preventive MedicineAmerican Dental Hygienists AssociationAmerican Heart AssociationAmerican Institute of Graphic ArtsAmerican Institute of PhysicsAmerican Physical Therapy AssociationAmerican Physiological SocietyAmerican Public Health AssociationAmerican Society of Alternative TherapistsAmerican Speech-Language-Hearing

AssociationAmerican Translators AssociationAmherst Central High SchoolArizona Department of Economic SecurityArkansas Department of HealthAssociation of American GeographersAssociation of Schools of Public HealthAssociation of State and Territorial Directors

of Health Promotion and Public HealthEducation

Baldassini, Dominique M.Bassett, MonicaBeginningsBendersky, JudithBernards Township Health DepartmentBertallot, AndrewBerwitz, Clement, Jr.Brewster, Denise G.Bureau of Labor Statistics, Chicago Regional

Office, National Compensation SurveyBureau of Labor Statistics, Office of Safety,

Health, and Working ConditionsButte County Department of Public HealthBynum, MelindaC. Hage AssociatesCalifornia Council of Local Directors of

Health EducationCalifornia Department of Health Services,

Emergency Preparedness and InjuryControl Branch

California Health and Welfare AgencyCalifornia State University, Long Beach,

Health Science DepartmentCatawba County Public Health DepartmentChilton Memorial HospitalCoalition of National Health Education

OrganizationsConnecticut Department of Labor

Construction Labor Research CouncilConsumer Electronics Manufacturers

AssociationContra Costa Health Services DepartmentCouncil on Education for Public HealthDietrich, EleanorDown, Susan E.Dunham, Patricia RDurward, DinaEast Carolina UniversityEast County Community Health ServicesEnglish Nanny and Governess School, Inc.Ennis, AmandaFlorida Department of Labor and

Employment SecurityForrey, Arden W.Fries, Sarah TiltonGeorgia Department of LaborGlazer, EmilyGuild of Professional Tour Guides of

Washington, D. C.Guilford County Women’s Health ProgramHartley Dodge Memorial Hospital,

Department of HealthHealth Education Consultant’s CouncilHewald, Ohio K.Hirtz, SusanIdaho Department of Health and WelfareIllinois Department of Employment SecurityIllinois State UniversityInternational Hearing SocietyInternational Labor OfficeInternational Organization for Medical

PhysicsInterstate Commission of Employment

Security AgenciesIowa State Occupational Information

Coordinating CommitteeJacobson, Solomon G.Johns Hopkins University School of Hygiene

and Public HealthJohnson, Barbara L.Johnston, Michelle R.Kambas, MichaelKansas Human ResourcesLA Care Health PlanLackey, CherylLi, WexLos Angeles Department of Health ServicesLuke’s-Roosevelt Hospital CenterMadison Health DepartmentMedical Center DelawareMichigan Jobs CommissionMillburn, Township of, Board of HealthMinnesota Department of Economic SecurityMinnesota Occupational Information

Coordinating CommitteeMissouri Department of Labor and Industrial

RelationsMobilMonroe, Diana L.Montana Department of Labor and IndustryMortenson, HelenNational Air Transportation AssociationNational Association of Social WorkersNational Association of State Personnel

ExecutivesNational Athletic Trainers AssociationNational Certification Board for Therapeutic

Massage and BodyworkNational Commission for Health Education

CredentialingNational Court Reporters AssociationNational Environmental Health AssociationNational Library of Medicine, Health

Services Research Information

National Systems Contractors AssociationNational Transportation Safety BoardNevada Department of Employment,

Training, and RehabilitationNew Jersey Department of Health and Senior

ServicesNew Jersey Department of LaborNew Jersey Department of PersonnelNew Jersey Graduate Program in Public

HealthNew Mexico Department of LaborNew Mexico State UniversityNew York Department of LaborNorth Carolina Department of Health and

Human Services, Division of HealthPromotion

North Carolina Department of Health andHuman Services, Office of HealthyCarolinians

North Carolina Office of State PersonnelO*NET—Employment and Training

AdministrationO*NET North Carolina TeamOffice of Personnel ManagementOhio Department of Health, Bureau of Health

Promotion and Risk ReductionPanama Canal CommissionPCA Health Plans of Texas, Inc.Pennsylvania Department of Labor and

IndustryPennsylvania State UniversityPensacola Junior CollegePinellas Workforce Development BoardPletka, RadekPrivate Industry Council of San FranciscoRegistry of Interpreters for the Deaf, Inc.Rhode Island Department of HealthRobertson, Anna RyanRollins School of Public HealthRutgers University Student Health ServiceSakora, LeaSan Diego Workforce PartnershipSchreiber Translations and Publishing, Inc.Snohomish County Community Health

CenterSnyder, George W. K., Jr.Society for Public Health Education, Inc.Society for Public Health Education, Inc.,

Great Lakes ChapterSociety for Public Health Education, Inc.,

Greater New York ChapterSociety for Public Health Education, Inc.,

New Jersey ChapterSociety for Public Health Educators, Inc.,

NCASociety for Public Health Education, Inc., San

Diego ChapterSociety for Public Health Education, Inc.,

Southern California ChapterSociety of Vascular TechnologySouth Carolina Department of Health and

Environmental Control, Office of PublicHealth Education

South Dakota Department of LaborSpecial Libraries AssociationSpecial Libraries Association, New York

ChapterStanford Patient Education Research CenterStevenson, Paul S.Stoess, CarynSweedle, JulieTeachers College, Columbia UniversityTennessee Department of Employment

SecurityTexas A and M University, Department of

Health and Kinesiology


Texas Department of HealthTexas Workforce CommissionU.S. Department of Education, National

Institute of Student AchievementU.S. Department of Health and Human

Services, Bureau of Health ProfessionsU.S. Department of Health and Human

Services, National Institute of Health,National Heart, Lung, and Blood Institute

U.S. Department of Health and HumanServices, National Institute of Health,National Library of Medicine

U.S. Department of Health and HumanServices, Office of Public Health andScience

U.S. Department of Health and HumanServices, Office of the Secretary

U.S. Office of Personnel ManagementU.S. Senate, Senator Thad CochranU.S. Senate, Senator Robert G. TorricelliUCI Medical CenterUnion Pacific RailroadUniversity of California at San DiegoUniversity of California, Los AngelesUniversity of Central ArkansasUniversity of Medicine and Dentistry of New

Jersey, Environmental and OccupationalHealth Sciences Institute

University of MichiganUniversity of MississippiUniversity of North CarolinaUniversity of North FloridaUniversity of North Texas Health Science

Center

VertekVirginia Mason Medical CenterWake County Department of HealthWebb, KarenWilliam Paterson UniversityWisconsin Department of Workforce

DevelopmentWyatt, PhilWyoming Department of EmploymentZorrilla, Marcia M.Donald R. Arbuckle,Acting Administrator and DeputyAdministrator, Office of Information andRegulatory Affairs.[FR Doc. 98–20688 Filed 8–4–98; 8:45 am]BILLING CODE 3110–01–P

Appendix C: Citations from the Workforce Investment Act, the ...

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Transcript of Appendix C: Citations from the Workforce Investment Act, the ...