Evaluation and monitoring procedures

The procedures in part 1954 apply to evaluation and monitoring of State plans approved under part 1956. The rule states that part 1954 procedures are to be used for evaluating and monitoring State plans approved under this part, with limited exceptions listed in 1956.22.

• See Procedures in 1954 for Phase I–III monitoring processes and evaluation criteria.
• For the specific 1956.22 text, see Procedures for evaluation and monitoring.

No — the decision to relinquish Federal enforcement authority under section 18(e) does not apply to Phase II and III monitoring. Section 1956.22 explicitly says the decision to relinquish Federal enforcement authority under section 18(e) of the Act is not relevant to Phase II and III monitoring under 1954.2.

• See 1956.22 and 1954.2 for the governing text.

No — the discretionary-enforcement guidelines in 1954.3 do not apply to plans approved under part 1956. Section 1956.22 says the guidelines on exercise of Federal discretionary enforcement authority in 1954.3 are not applicable to plans approved under this part.

• Refer to 1956.22 for this exclusion and to 1954.3 for the text of those guidelines (which are intentionally not applied here).

The factors listed in 1902.37(b) provide the basis for monitoring, except for the items specifically excluded by 1956.22 (that is, 1902.37(b)(11) and 1902.37(b)(12)).

• In practice, use the factors in 1902.37(b) as the monitoring framework but exclude the specific elements in 1902.37(b)(11) and 1902.37(b)(12).

Yes — the factors in 1902.37(b) may be adapted to a State compliance program and serve as the basis for monitoring. Section 1956.22 states that the factors listed in 1902.37(b), except the two specified exceptions, would be adapted to the State compliance program to provide the monitoring basis.

• Use the adaptable nature of those factors to fit the State’s organizational structure and enforcement methods while keeping the core objectives of monitoring intact.

Section 1956.22 excludes the items in 1902.37(b)(11) and 1902.37(b)(12) from use in monitoring State plans. The rest of the 1902.37(b) factors remain available for adaptation to the State program.

• When designing monitoring protocols, explicitly omit the two subparagraphs referenced above.

This rule applies to State plans that are approved under part 1956, which covers State plans for State and local government employees in States without approved private employee plans. Section 1956.22 is part of part 1956 and governs monitoring for those approved State plans.

• See Part 1956 for the broader scope and 1956.22 for the specific monitoring directive.

Phase II and Phase III monitoring procedures are found in 1954.2, and 1956.22 directs users to apply the procedures in part 1954 for evaluation and monitoring.

• Review 1954.2 for definitions and steps related to Phase II and III monitoring.

No — the monitoring procedures themselves come from part 1954 and are used as the evaluation framework, but the 1902.37(b) factors are to be adapted to the State’s compliance program to reflect differences in enforcement structure.

• In short: the evaluation framework is the same, but the 1902.37(b) factors are tailored to the State program (excluding 1902.37(b)(11) and 1902.37(b)(12)). See 1956.22.

No — the discretionary enforcement guidelines in 1954.3 are not applied to plans approved under part 1956, so those particular discretionary-enforcement processes are not used in this context.

• The rule at 1956.22 explicitly states that the guidelines in 1954.3 are inapplicable to these approved State plans.

You should consult part 1954 for the documentation and reporting requirements used in evaluation and monitoring of State plans per 1956.22. Section 1956.22 directs that the procedures contained in part 1954 are applicable for evaluation and monitoring.

• See 1954 for the details on how monitoring is conducted, documented, and reported.

A State should adapt the factors listed in 1902.37(b) to its compliance program processes and use them as the basis for monitoring, while excluding 1902.37(b)(11) and 1902.37(b)(12).

• Practical steps: map each applicable factor to an existing State procedure (inspections, recordkeeping review, enforcement actions), identify measurable indicators, and document how each factor will be evaluated during monitoring.
• Reference: 1956.22 and 1902.37(b).

Yes — 1956.22 directs that the procedures contained in part 1954 (which use Phase I, II, and III monitoring) are applicable to evaluation and monitoring of State plans approved under this part, except for the specified exceptions.

• For the Phase descriptions and how they are applied, see 1954.2 and the overall part 1954.
• See 1956.22 for the instruction to apply those procedures.