(a) Obligations of sponsors. In addition to the development of a
written affirmative action plan to ensure that minorities and women have
an equal opportunity for selection as apprentices and otherwise ensure
the prompt achievement of full and equal opportunity in apprenticeship,
each sponsor shall further provide in its affirmative action program
that the selection of apprentices shall be made under one of the methods
specified in the following subparagraphs (1) through (4) of paragraph
(b) of this section.
(b) Selection methods. The sponsor shall adopt one of the following
methods for selecting apprentices:
(1) Selection on basis of rank from pool of eligible applicants--(i)
Selection. A sponsor may select apprentices from a pool of eligible
applicants created in accordance with the requirements of paragraph
(b)(1)(iii) of this section on the basis of the rank order of scores of
applicants on one or more qualification standards where there is a
significant statistical relationship between rank order of scores and
performance in the apprenticeship program. In demonstrating such
relationship, the sponsor shall follow the procedures set forth in
Guidelines on Employee Selection Procedures published at 41 CFR part 60-
3.
(ii) Requirements. The sponsor adopting this method of selecting
apprentices shall meet the requirements of paragraphs (b)(1)(iii)
through (vii) of this section.
(iii) Creation of pool of eligibles. A pool of eligibles shall be
created from applicants who meet the qualifications of minimum legal
working age; or from applicants who meet qualification standards in
addition to minimum legal working age: Provided, That any additional
qualification standards conform with the following requirements:
(A) Qualification standards. The qualification standards, and the
procedures for determining such qualification standards, shall be stated
in detail and shall provide criteria for the specific factors and
attributes to be considered in evaluating applicants for admission to
the pool. The score required under each qualification standard for
admission to the pool shall also be specified. All qualification
standards, and the score required on any standard for admission to the
pool, shall be directly related to job performance, as shown by a
significant statistical relationship between the score required for
admission to the pool, and performance in the apprenticeship program. In
demonstrating such relationship, the sponsor shall follow the procedures
set forth in 41 CFR part 60-3. Qualifications shall be considered as
separately required so that the failure of an applicant to attain the
specified score under a single qualification standard shall disqualify
the applicant from admission to the pool.
(B) Aptitude tests. Any qualification standard for admission to the
pool consisting of aptitude test scores shall be directly related to job
performance, as shown by significant statistical relationships between
the score on the aptitude tests required for admission to the pool, and
performance in the apprenticeship program. In determining such
relationship, the sponsor shall follow the procedures set forth in 41
CFR part 60-3. The requirements of this
paragraph (b)(1)(iii)(B) shall also be applicable to aptitude tests
utilized by a program sponsor which are administered by a state
employment agency, or any other person, agency, or organization engaged
in the selection or evaluation of personnel. A national test developed
and administered by a national joint apprenticeship committee will not
by approved by the Department unless such test meets the requirements of
this subsection.
(C) Educational attainments. All educational attainments or
achievements as qualifications for admission to the pool shall be
directly related to job performance as shown by a significant
statistical relationship between the score required for admission to the
pool and performance in the apprenticeship program. In demonstrating
such relationship, the sponsor shall meet the requirements of 41 CFR
part 60-3. School records or a passing grade on the general education
development tests recognized by the State or local public instruction
authority shall be evidence of educational achievement. Education
requirements shall be applied uniformly to all applicants.
(iv) Oral interviews. Oral interviews shall not be used as a
qualification standard for admission into an eligibility pool. However,
once an applicant is placed in the eligibility pool, and prior to
selection for apprenticeship from the pool, he or she may be required to
submit to an oral interview. Oral interviews shall be limited to such
objective questions as may be required to determine the fitness of
applicants to enter the apprenticeship program, but shall not include
questions relating to qualifications previously determined in gaining
entrance to the eligibility pool. When an oral interview is used, each
interviewer shall record the questions and the general nature of the
applicant's answers, and shall prepare a summary of any conclusions.
Each applicant rejected from the pool of eligibles on the basis of an
oral interview shall be given a written statement of such rejection, the
reasons therefor, and the appeal rights available to the applicant.
(v) Notification of applicants. All applicants who meet the
requirements for admission shall be notified and placed in the
eligibility pool. The program sponsor shall give each rejected applicant
who is not selected for the pool or the program notice of his or her
rejection, including the reasons for the rejection, the requirements for
admission to the pool of eligibles, and the appeal rights available to
the applicant.
(vi) Goals and timetables. The sponsor shall establish where
required by Sec. 30.4(d), percentage goals and timetables for the
admission of minorities and women (minority and nonminority) into the
pool of eligibles, in accordance with the provisions of Sec. 30.4 (d),
(e), and (f).
(vii) Compliance. A sponsor shall be deemed to be in compliance with
its commitments under paragraph (b)(1)(vi) of this section if it meets
its goals or timetables or if it makes a good faith effort to meet
these goals and timetables. In the event of the failure of the sponsor
to meet its goals and timetables, it shall be given an opportunity to
demonstrate that it has made every good faith effort to meet its
commitments (see Sec. 30.4(f)). All the actions of the sponsor shall be
reviewed and evaluated in determining whether such good faith efforts
have been made.
(2) Random selection from pool of eligible applicants--(i)
Selection. A sponsor may select apprentices from a pool of eligible
applicants on a random basis. The method of random selection is subject
to approval by the Department. Supervision of the random selection
process shall be by an impartial person or persons selected by the
sponsor, but not associated with the administration of the
apprenticeship program. The time and place of the selection, and the
number of apprentices to be selected, shall be announced. The place of
the selection shall be open to all applicants and the public. The names
of apprentices drawn by this method shall be posted immediately
following the selection at the program sponsor's place of business.
(ii) Requirements. The sponsor adopting this method of selecting
apprentices shall meet the requirements of paragraphs (b)(1)(iii)
through (v) of this section relating to the creation of pool of
eligibles, oral interviews, and notification of applicants.
(iii) Goals and timetables. The sponsor shall establish, where
required by Sec. 30.4(d), percentage goals and time- tables for
admission of minorities and women (minority and nonminority) into the
pool of eligibles in accordance with the provisions of Sec. 30.4 (d),
(e), and (f).
(iv) Compliance. Determinations as to the sponsor's compliance with
its obligations under these regulations shall be in accordance with the
provisions of paragraph (b)(1)(vii) of this section.
(3) Selection from pool of current employees--(i) Selection. A
sponsor may select apprentices from an eligibility pool of the workers
already employed by the program sponsor in a manner prescribed by a
collective bargaining agreement where such exists, or by the sponsor's
established promotion policy. The sponsor adopting this method of
selecting apprentices shall establish goals and timetables for the
selection of minority and female apprentices, unless the sponsor
concludes, in accordance with the provisions of Sec. 30.4 (d), (e), and
(f) that it does not have deficiencies in terms of underutilization of
minorities and/or women (minority and nonminority) in the apprenticeship
of journeyperson crafts represented by the program.
(ii) Compliance. Determinations as to the sponsor's compliance with
its obligations under these regulations shall be in accordance with
provisions of paragraph (b)(1)(vii) of this section.
(4) Alternative selection methods--(i) Selection. A sponsor may
select apprentices by means of any other method including its present
selection method: Provided, That the sponsor meets the following
requirements:
(A) Selection method and goals and timetables. Within 90 days of the
effective date of this amendment, the sponsor shall complete development
of the revised selection method it proposes to use along with the rest
of its written affirmative action program including, where required by
Sec. 30.4(d), its percentage goals and timetables for the selection of
minority and/or female (minority and nonminority) applicants for
apprenticeship and its written analysis, upon which such goals and
timetables, or lack thereof, are based. The establishment of goals and
timetables shall be in accordance with the provisions of Sec. 30.4 (d),
(e), and (f). The sponsor may not implement any such selection method
until the Department has approved the selection method as meeting the
requirements of item (B) of this subdivision and has approved the
remainder of its affirmative action program including its goals and
timetables. If the Department fails to act upon the selection method and
the affirmative action program within 30 days of its submission, the
sponsor then may implement the selection method.
(B) Qualification standards. Apprentices shall be selected on the
basis of objective and specific qualification standards. Examples of
such standards are fair aptitude tests, school diplomas or equivalent,
occupationally essential health requirements, fair interviews, school
grades, and previous work experience. Where interviews are used,
adequate records shall be kept including a brief summary of each
interview and the conclusions on each of the specific factors, e.g.,
motivation, ambition, and willingness to accept direction which are part
of the total judgement. In applying any such standards, the sponsor
shall meet the requirements of 41 CFR part 60-3.
(ii) Compliance. Determinations as to the sponsor's compliance with
its obligations under these regulations shall be in accordance with the
provisions of paragraph (b)(1)(vii) of this section. Where a sponsor,
despite its good faith efforts, fails to meet its goals and timetables
within a reasonable period of time, the sponsor may be required to make
appropriate changes in its affirmative action program to the extent
necessary to obtain maximum effectiveness toward the attainment of its
goals. The sponsor may also be required to develop and adopt an
alternative selection method, including a method prescribed by the
Department, where it is determined that the failure of the sponsor to
meet its goals is attributable in substantial part to the selection
method. Where the sponsor's failure to meet its goals is attributable in
substantial part to its use of a qualification standard which has
adversely affected the opportunities of minorities
and/or women (minority and nonminority) for apprenticeship, the sponsor
may be required to demonstrate that such qualification standard is
directly related to job performance, in accordance with the provisions
of paragraph (b)(1)(iii)(A) of this section.
(Approved by the Office of Management and Budget under control number
1205-0224)
[43 FR 20760, May 12, 1978, as amended at 49 FR 18295, Apr. 30, 1984]
