A. Required information. Users of selection procedures other than
those users complying with section 15A(1) of this section should
maintain and have available for each job information on adverse impact
of the selection process for that job and, where it is determined a
selection process has an adverse impact, evidence of validity as set
forth below.
(1) Simplified recordkeeping for users with less than 100 employees.
In order to
minimize recordkeeping burdens on employers who employ one hundred (100)
or fewer employees, and other users not required to file EEO-1, et seq.,
reports, such users may satisfy the requirements of this section 15 if
they maintain and have available rec- ords showing, for each year:
(a) The number of persons hired, promoted, and terminated for each
job, by sex, and where appropriate by race and national origin;
(b) The number of applicants for hire and promotion by sex and where
appropriate by race and national origin; and
(c) The selection procedures utilized (either standardized or not
standardized).
These records should be maintained for each race or national origin
group (see section 4 of this part) constituting more than two percent
(2%) of the labor force in the relevant labor area. However, it is not
necessary to maintain records by race and/or national origin (see
section 4 of this part) if one race or national origin group in the
relevant labor area constitutes more than ninety-eight percent (98%) of
the labor force in the area. If the user has reason to believe that a
selection procedure has an adverse impact, the user should maintain any
available evidence of validity for that procedure (see sections 7A and
8).
(2) Information on impact--(a) Collection of information on impact.
Users of selection procedures other than those complying with section
15A(1) of this part should maintain and have available for each job
records or other information showing whether the total selection process
for that job has an adverse impact on any of the groups for which
records are called for by section 4B of this part. Adverse impact
determinations should be made at least annually for each such group
which constitutes at least 2 percent of the labor force in the relevant
labor area or 2 percent of the applicable workforce. Where a total
selection process for a job has an adverse impact, the user should
maintain and have available records or other information showing which
components have an adverse impact. Where the total selection process for
a job does not have an adverse impact, information need not be
maintained for individual components except in circumstances set forth
in subsection 15A(2)(b) of this section. If the determination of adverse
impact is made using a procedure other than the ``four-fifths rule,'' as
defined in the first sentence of section 4D of this part, a
justification, consistent with section 4D of this part, for the
procedure used to determine adverse impact should be available.
(b) When adverse impact has been eliminated in the total selection
process. Whenever the total selection process for a particular job has
had an adverse impact, as defined in section 4 of this part, in any
year, but no longer has an adverse impact, the user should maintain and
have available the information on individual components of the selection
process required in the preceding paragraph for the period in which
there was adverse impact. In addition, the user should continue to
collect such information for at least two (2) years after the adverse
impact has been eliminated.
(c) When data insufficient to determine impact. Where there has been
an insufficient number of selections to determine whether there is an
adverse impact of the total selection process for a particular job, the
user should continue to collect, maintain and have available the
information on individual components of the selection process required
in paragraph 15(A)(2)(a) of this part until the information is
sufficient to determine that the overall selection process does not have
an adverse impact as defined in section 4 of this part, or until the job
has changed substantially.
(3) Documentation of validity evidence--(a) Types of evidence. Where
a total selection process has an adverse impact (see section 4 of this
part) the user should maintain and have available for each component of
that process which has an adverse impact, one or more of the following
types of documentation evidence:
(i) Documentation evidence showing criterion-related validity of the
selection procedure (see section 15B, of this section).
(ii) Documentation evidence showing content validity of the
selection procedure (see section 15C, of this section).
(iii) Documentation evidence showing construct validity of the
selection procedure (see section 15D, of this section).
(iv) Documentation evidence from other studies showing validity of
the selection procedure in the user's facility (see section 15E, of this
section).
(v) Documentation evidence showing why a validity study cannot or
need not be performed and why continued use of the procedure is
consistent with Federal law.
(b) Form of report. This evidence should be compiled in a reasonably
complete and organized manner to permit direct evaluation of the
validity of the selection procedure. Previously written employer or
consultant reports of validity, or reports describing validity studies
completed before the issuance of these guidelines are acceptable if they
are complete in regard to the documentation requirements contained in
this section, or if they satisfied requirements of guidelines which were
in effect when the validity study was completed. If they are not
complete, the required additional documentation should be appended. If
necessary information is not available the report of the validity study
may still be used as documentation, but its adequacy will be evaluated
in terms of compliance with the requirements of these guidelines.
(c) Completeness. In the event that evidence of validity is reviewed
by an enforcement agency, the validation reports completed after the
effective date of these guidelines are expected to contain the
information set forth below. Evidence denoted by use of the word
``(Essential)'' is considered critical. If information denoted essential
is not included, the report will be considered incomplete unless the
user affirmatively demonstrates either its unavailability due to
circumstances beyond the user's control or special circumstances of the
user's study which make the information irrelevant. Evidence not so
denoted is desirable but its absence will not be a basis for considering
a report incomplete. The user should maintain and have available the
information called for under the heading ``Source Data'' in sections
15B(11) and 15D(11). While it is a necessary part of the study, it need
not be submitted with the report. All statistical results should be
organized and presented in tabular or graphic form to the extent
feasible.
B. Criterion-related validity studies. Reports of criterion-related
validity for a selection procedure should include the following
information:
(1) User(s), location(s), and date(s) of study. Dates and
location(s) of the job analysis or review of job information, the
date(s) and location(s) of the administration of the selection
procedures and collection of criterion data, and the time between
collection of data on selection procedures and criterion measures should
be provided (Essential). If the study was conducted at several
locations, the address of each location, including city and State,
should be shown.
(2) Problem and setting. An explicit definition of the purpose(s) of
the study and the circumstances in which the study was conducted should
be provided. A description of existing selection procedures and cutoff
scores, if any, should be provided.
(3) Job analysis or review of job information. A description of the
procedure used to analyze the job or group of jobs, or to review the job
information should be provided (Essential). Where a review of job
information results in criteria which may be used without a full job
analysis (see section 14B(3)), the basis for the selection of these
criteria should be reported (Essential). Where a job analysis is
required a complete description of the work behavior(s) or work
outcome(s), and measures of their criticality or importance should be
provided (Essential). The report should describe the basis on which the
behavior(s) or outcome(s) were determined to be critical or important,
such as the proportion of time spent on the respective behaviors, their
level of difficulty, their frequency of performance, the consequences of
error, or other appropriate factors (Essential). Where two or more jobs
are grouped for a validity study, the information called for in this
subsection should be provided for each of the jobs, and the
justification for the grouping (see section 14B(1)) should be provided
(essential).
(4) Job titles and codes. It is desirable to provide the user's job
title(s) for the job(s) in question and the corresponding job title(s)
and code(s) from U.S. Employment Service's Dictionary of Occupational
Titles.
(5) Criterion measures. The bases for the selection of the criterion
measures should be provided, together with references to the evidence
considered in making the selection of criterion measures (essential). A
full description of all criteria on which data were collected and means
by which they were observed, recorded, evaluated, and quantified, should
be provided (essential). If rating techniques are used as criterion
measures, the appraisal form(s) and instructions to the rater(s) should
be included as part of the validation evidence, or should be explicitly
described and available (essential). All steps taken to insure that
criterion measures are free from factors which would unfairly alter the
scores of members of any group should be described (essential).
(6) Sample description. A description of how the research sample was
identified and selected should be included (essential). The race, sex,
and ethnic composition of the sample, including those groups set forth
in section 4A of this part, should be described (essential). This
description should include the size of each subgroup (essential). A
description of how the research sample compares with the relevant labor
market or work force, the method by which the relevant labor market or
work force was defined, and a discussion of the likely effects on
validity of differences between the sample and the relevant labor market
or work force, are also desirable. Descriptions of educational levels,
length of service, and age are also desirable.
(7) Description of selection procedures. Any measure, combination of
measures, or procedure studied should be completely and explicitly
described or attached (essential). If commercially available selection
procedures are studied, they should be described by title, form, and
publisher (essential). Reports of reliability estimates and how they
were established are desirable.
(8) Techniques and results. Methods used in analyzing data should be
described (essential). Measures of central tendency (e.g., means) and
measures of dispersion (e.g., standard deviations and ranges) for all
selection procedures and all criteria should be reported for each race,
sex, and ethnic group which constitutes a significant factor in the
relevant labor market (essential). The magnitude and direction of all
relationships between selection procedures and criterion measures
investigated should be reported for each relevant race, sex, and ethnic
group and for the total group (essential). Where groups are too small to
obtain reliable evidence of the magnitude of the relationship, need not
be reported separately. Statements regarding the statistical
significance of results should be made (essential). Any statistical
adjustments, such as for less then perfect reliability or for
restriction of score range in the selection procedure or criterion
should be described and explained; and uncorrected correlation
coefficients should also be shown (essential). Where the statistical
technique categorizes continuous data, such as biserial correlation and
the phi coefficient, the categories and the bases on which they were
determined should be described and explained (essential). Studies of
test fairness should be included where called for by the requirements of
section 14B(8) (essential). These studies should include the rationale
by which a selection procedure was determined to be fair to the group(s)
in question. Where test fairness or unfairness has been demonstrated on
the basis of other studies, a bibliography of the relevant studies
should be included (essential). If the bibliography includes unpublished
studies, copies of these studies, or adequate abstracts or summaries,
should be attached (essential). Where revisions have been made in a
selection procedure to assure compatability between successful job
performance and the probability of being selected, the studies
underlying such revisions should be included (essential). All
statistical results should be organized and presented by relevant race,
sex, and ethnic group (essential).
(9) Alternative procedures investigated. The selection procedures
investigated and available evidence of their impact
should be identified (essential). The scope, method, and findings of the
investigation, and the conclusions reached in light of the findings,
should be fully described (essential).
(10) Uses and applications. The methods considered for use of the
selection procedure (e.g., as a screening device with a cutoff score,
for grouping or ranking, or combined with other procedures in a battery)
and available evidence of their impact should be described (essential).
This description should include the rationale for choosing the method
for operational use, and the evidence of the validity and utility of the
procedure as it is to be used (essential). The purpose for which the
procedure is to be used (e.g., hiring, transfer, promotion) should be
described (essential). If weights are assigned to different parts of the
selection procedure, these weights and the validity of the weighted
composite should be reported (essential). If the selection procedure is
used with a cutoff score, the user should describe the way in which
normal expectations of proficiency within the work force were determined
and the way in which the cutoff score was determined (essential).
(11) Source data. Each user should maintain records showing all
pertinent information about individual sample members and raters where
they are used, in studies involving the validation of selection
procedures. These records should be made available upon request of a
compliance agency. In the case of individual sample members these data
should include scores on the selection procedure(s), scores on criterion
measures, age, sex, race, or ethnic group status, and experience on the
specific job on which the validation study was conducted, and may also
include such things as education, training, and prior job experience,
but should not include names and social security numbers. Records should
be maintained which show the ratings given to each sample member by each
rater.
(12) Contact person. The name, mailing address, and telephone number
of the person who may be contacted for further information about the
validity study should be provided (essential).
(13) Accuracy and completeness. The report should describe the steps
taken to assure the accuracy and completeness of the collection,
analysis, and report of data and results.
C. Content validity studies. Reports of content validity for a
selection procedure should include the following information:
(1) User(s), location(s) and date(s) of study. Dates and location(s)
of the job analysis should be shown (essential).
(2) Problem and setting. An explicit definition of the purpose(s) of
the study and the circumstances in which the study was conducted should
be provided. A description of existing selection procedures and cutoff
scores, if any, should be provided.
(3) Job analysis--Content of the job. A description of the method
used to analyze the job should be provided (essential). The work
behavior(s), the associated tasks, and, if the behavior results in a
work product, the work products should be completely described
(essential). Measures of criticality and/or importance of the work
behavior(s) and the method of determining these measures should be
provided (essential). Where the job analysis also identified the
knowledges, skills, and abilities used in work behavior(s), an
operational definition for each knowledge in terms of a body of learned
information and for each skill and ability in terms of observable
behaviors and outcomes, and the relationship between each knowledge,
skill, or ability and each work behavior, as well as the method used to
determine this relationship, should be provided (essential). The work
situation should be described, including the setting in which work
behavior(s) are performed, and where appropriate, the manner in which
knowledges, skills, or abilities are used, and the complexity and
difficulty of the knowledge, skill, or ability as used in the work
behavior(s).
(4) Selection procedure and its content. Selection procedures,
including those constructed by or for the user, specific training
requirements, composites of selection procedures, and any other
procedure supported by content validity, should be completely and
explicitly described or attached (essential). If
commercially available selection procedures are used, they should be
described by title, form, and publisher (essential). The behaviors
measured or sampled by the selection procedure should be explicitly
described (essential). Where the selection procedure purports to measure
a knowledge, skill, or ability, evidence that the selection procedure
measures and is a representative sample of the knowledge, skill, or
ability should be provided (essential).
(5) Relationship between the selection procedure and the job. The
evidence demonstrating that the selection procedure is a representative
work sample, a representative sample of the work behavior(s), or a
representative sample of a knowledge, skill, or ability as used as a
part of a work behavior and necessary for that behavior should be
provided (essential). The user should identify the work behavior(s)
which each item or part of the selection procedure is intended to sample
or measure (essential). Where the selection procedure purports to sample
a work behavior or to provide a sample of a work product, a comparison
should be provided of the manner, setting, and the level of complexity
of the selection procedure with those of the work situation (essential).
If any steps were taken to reduce adverse impact on a race, sex, or
ethnic group in the content of the procedure or in its administration,
these steps should be described. Establishment of time limits, if any,
and how these limits are related to the speed with which duties must be
performed on the job, should be explained. Measures of central tendency
(e.g., means) and measures of dispersion (e.g., standard deviations) and
estimates of realibility should be reported for all selection procedures
if available. Such reports should be made for relevant race, sex, and
ethnic subgroups, at least on a statistically reliable sample basis.
(6) Alternative procedures investigated. The alternative selection
procedures investigated and available evidence of their impact should be
identified (essential). The scope, method, and findings of the
investigation, and the conclusions reached in light of the findings,
should be fully described (essential).
(7) Uses and applications. The methods considered for use of the
selection procedure (e.g., as a screening device with a cutoff score,
for grouping or ranking, or combined with other procedures in a battery)
and available evidence of their impact should be described (essential).
This description should include the rationale for choosing the method
for operational use, and the evidence of the validity and utility of the
procedure as it is to be used (essential). The purpose for which the
procedure is to be used (e.g., hiring, transfer, promotion) should be
described (essential). If the selection procedure is used with a cutoff
score, the user should describe the way in which normal expectations of
proficiency within the work force were determined and the way in which
the cutoff score was determined (essential). In addition, if the
selection procedure is to be used for ranking, the user should specify
the evidence showing that a higher score on the selection procedure is
likely to result in better job performance.
(8) Contact person. The name, mailing address, and telephone number
of the person who may be contacted for further information about the
validity study should be provided (essential).
(9) Accuracy and completeness. The report should describe the steps
taken to assure the accuracy and completeness of the collection,
analysis, and report of data and results.
D. Construct validity studies. Reports of construct validity for a
selection procedure should include the following information:
(1) User(s), location(s), and date(s) of study. Date(s) and
location(s) of the job analysis and the gathering of other evidence
called for by these guidelines should be provided (essential).
(2) Problem and setting. An explicit definition of the purpose(s) of
the study and the circumstances in which the study was conducted should
be provided. A description of existing selection procedures and cutoff
scores, if any, should be provided.
(3) Construct definition. A clear definition of the construct(s)
which are believed to underlie successful performance of the critical or
important work behavior(s) should be provided (essential). This
definition should include the
levels of construct performance relevant to the job(s) for which the
selection procedure is to be used (essential). There should be a summary
of the position of the construct in the psychological literature, or in
the absence of such a position, a description of the way in which the
definition and measurement of the construct was developed and the
psychological theory underlying it (essential). Any quantitative data
which identify or define the job constructs, such as factor analyses,
should be provided (essential).
(4) Job analysis. A description of the method used to analyze the
job should be provided (essential). A complete description of the work
behavior(s) and, to the extent appropriate, work outcomes and measures
of their criticality and/or importance should be provided (essential).
The report should also describe the basis on which the behavior(s) or
outcomes were determined to be important, such as their level of
difficulty, their frequency of performance, the consequences of error or
other appropriate factors (essential). Where jobs are grouped or
compared for the purposes of generalizing validity evidence, the work
behavior(s) and work product(s) for each of the jobs should be
described, and conclusions concerning the similarity of the jobs in
terms of observable work behaviors or work products should be made
(essential).
(5) Job titles and codes. It is desirable to provide the selection
procedure user's job title(s) for the job(s) in question and the
corresponding job title(s) and code(s) from the United States Employment
Service's dictionary of occupational titles.
(6) Selection procedure. The selection procedure used as a measure
of the construct should be completely and explicitly described or
attached (essential). If commercially available selection procedures are
used, they should be identified by title, form and publisher
(essential). The research evidence of the relationship between the
selection procedure and the construct, such as factor structure, should
be included (essential). Measures of central tendency, variability and
reliability of the selection procedure should be provided (essential).
Whenever feasible, these measures should be provided separately for each
relevant race, sex and ethnic group.
(7) Relationship to job performance. The criterion-related
study(ies) and other empirical evidence of the relationship between the
construct measured by the selection procedure and the related work
behavior(s) for the job or jobs in question should be provided
(essential). Documentation of the criterion-related study(ies) should
satisfy the provisions of paragraph 15B of this section or paragraph
15E(1) of this section, except for studies conducted prior to the
effective date of these guidelines (essential). Where a study pertains
to a group of jobs, and, on the basis of the study, validity is asserted
for a job in the group, the observed work behaviors and the observed
work products for each of the jobs should be described (essential). Any
other evidence used in determining whether the work behavior(s) in each
of the jobs is the same should be fully described (essential).
(8) Alternative procedures investigated. The alternative selection
procedures investigated and available evidence of their impact should be
identified (essential). The scope, method, and findings of the
investigation, and the conclusions reached in light of the findings
should be fully described (essential).
(9) Uses and applications. The methods considered for use of the
selection procedure (e.g., as a screening device with a cutoff score,
for grouping or ranking, or combined with other procedures in a battery)
and available evidence of their impact should be described (essential).
This description should include the rationale for choosing the method
for operational use, and the evidence of the validity and utility of the
procedure as it is to be used (essential). The purpose for which the
procedure is to be used (e.g., hiring, transfer, promotion) should be
described (essential). If weights are assigned to different parts of the
selection procedure, these weights and the validity of the weighted
composite should be reported (essential). If the selection procedure is
used with a cutoff score, the user should describe the way in which
normal expectations of proficiency within the work force were determined
and the way in
which the cutoff score was determined (essential).
(10) Accuracy and completeness. The report should describe the steps
taken to assure the accuracy and completeness of the collection,
analysis, and report of data and results.
(11) Source data. Each user should maintain records showing all
pertinent information relating to its study of construct validity.
(12) Contact person. The name, mailing address, and telephone number
of the individual who may be contacted for further information about the
validity study should be provided (essential).
E. Evidence of validity from other studies. When validity of a
selection procedure is supported by studies not done by the user, the
evidence from the original study or studies should be compiled in a
manner similar to that required in the appropriate paragraph of this
section 15 above. In addition, the following evidence should be
supplied:
(1) Evidence from criterion-related validity studies--a. Job
information. A description of the important job behavior(s) of the
user's job and the basis on which the behaviors were determined to be
important should be provided (essential). A full description of the
basis for determining that these important work behaviors are the same
as those of the job in the original study (or studies) should be
provided (essential).
b. Relevance of criteria. A full description of the basis on which
the criteria used in the original studies are determined to be relevant
for the user should be provided (essential).
c. Other variables. The similarity of important applicant pool or
sample characteristics reported in the original studies to those of the
user should be described (essential). A description of the comparison
between the race, sex and ethnic composition of the user's relevant
labor market and the sample in the original validity studies should be
provided (essential).
d. Use of the selection procedure. A full description should be
provided showing that the use to be made of the selection procedure is
consistent with the findings of the original validity studies
(essential).
e. Bibliography. A bibliography of reports of validity of the
selection procedure for the job or jobs in question should be provided
(essential). Where any of the studies included an investigation of test
fairness, the results of this investigation should be provided
(essential). Copies of reports published in journals that are not
commonly available should be described in detail or attached
(essential). Where a user is relying upon unpublished studies, a
reasonable effort should be made to obtain these studies. If these
unpublished studies are the sole source of validity evidence they should
be described in detail or attached (essential). If these studies are not
available, the name and address of the source, an adequate abstract or
summary of the validity study and data, and a contact person in the
source organization should be provided (essential).
(2) Evidence from content validity studies. See sections 14C(3) and
section 15C of this section.
(3) Evidence from construct validity studies. See sections 14D(2)
and 15D of this section.
F. Evidence of validity from cooperative studies. Where a selection
procedure has been validated through a cooperative study, evidence that
the study satisfies the requirements of sections 7, 8 and 15E should be
provided (essential).
G. Selection for higher level job. If a selection procedure is used
to evaluate candidates for jobs at a higher level than those for which
they will initially be employed, the validity evidence should satisfy
the documentation provisions of this section 15 for the higher level job
or jobs, and in addition, the user should provide: (1) a description of
the job progression structure, formal or informal; (2) the data showing
how many employees progress to the higher level job and the length of
time needed to make this progression; and (3) an identification of any
anticipated changes in the higher level job. In addition, if the test
measures a knowledge, skill or ability, the user should provide evidence
that the knowledge, skill or ability is required for the higher level
job and the basis for the conclusion that the knowledge, skill or
ability is not expected to develop from the training or experience on
the job.
H. Interim use of selection procedures. If a selection procedure is
being used on an interim basis because the procedure is not fully
supported by the required evidence of validity, the user should maintain
and have available (1) substantial evidence of validity for the
procedure, and (2) a report showing the date on which the study to
gather the additional evidence commenced, the estimated completion date
of the study, and a description of the data to be collected (essential).
