# 14: Appendix

## 14: Appendix

• Corporate Information
• HKEX Connect Hall Rental
• Our Brand
• Organisation
• Investor Relations
• Financial Statements
• Real Time Share Price
• Corporate Governance
• Corporate Social Responsibility
• Visit HKEX
• Careers

## 14.4 Analysis

### 14.4.1 Hive Functions

Name Description
size(Map<K.V>) Returns the number of elements in the map type.
size(Array ) Returns the number of elements in the array type.
map_keys(Map<K.V>) Returns an unordered array containing the keys of the input map.
map_values(Map<K.V>) Returns an unordered array containing the values of the input map.
array_contains(Array , value) Returns TRUE if the array contains value.
sort_array(Array ) Sorts the input array in ascending order according to the natural ordering of the array elements and returns it
binary(string or binary) Casts the parameter into a binary.
cast(expr as ‘type’) Converts the results of the expression expr to the given type.
from_unixtime(bigint unixtime[, string format]) Converts the number of seconds from unix epoch (1970-01-01 00:00:00 UTC) to a string.
unix_timestamp() Gets current Unix timestamp in seconds.
unix_timestamp(string date) Converts time string in format yyyy-MM-dd HH:mm:ss to Unix timestamp (in seconds).
to_date(string timestamp) Returns the date part of a timestamp string.
year(string date) Returns the year part of a date.
quarter(date/timestamp/string) Returns the quarter of the year for a date.
month(string date) Returns the month part of a date or a timestamp string.
day(string date) dayofmonth(date) Returns the day part of a date or a timestamp string.
hour(string date) Returns the hour of the timestamp.
minute(string date) Returns the minute of the timestamp.
second(string date) Returns the second of the timestamp.
weekofyear(string date) Returns the week number of a timestamp string.
extract(field FROM source) Retrieve fields such as days or hours from source. Source must be a date, timestamp, interval or a string that can be converted into either a date or timestamp.
datediff(string enddate, string startdate) Returns the number of days from startdate to enddate.
date_sub(date/timestamp/string startdate, tinyint/smallint/int days) Subtracts a number of days to startdate.
from_utc_timestamp( ts, string timezone) Converts a timestamp in UTC to a given timezone.
to_utc_timestamp( ts, string timezone) Converts a timestamp in a given timezone to UTC.
current_date Returns the current date.
current_timestamp Returns the current timestamp.
add_months(string start_date, int num_months, output_date_format) Returns the date that is num_months after start_date.
last_day(string date) Returns the last day of the month which the date belongs to.
next_day(string start_date, string day_of_week) Returns the first date which is later than start_date and named as day_of_week.
trunc(string date, string format) Returns date truncated to the unit specified by the format.
months_between(date1, date2) Returns number of months between dates date1 and date2.
date_format(date/timestamp/string ts, string fmt) Converts a date/timestamp/string to a value of string in the format specified by the date format fmt.
if(boolean testCondition, T valueTrue, T valueFalseOrNull) Returns valueTrue when testCondition is true, returns valueFalseOrNull otherwise.
isnull( a ) Returns true if a is NULL and false otherwise.
isnotnull ( a ) Returns true if a is not NULL and false otherwise.
nvl(T value, T default_value) Returns default value if value is null else returns value.
COALESCE(T v1, T v2, …) Returns the first v that is not NULL, or NULL if all v’s are NULL.
CASE a WHEN b THEN c [WHEN d THEN e]* [ELSE f] END When a = b, returns c when a = d, returns e else returns f.
nullif( a, b ) Returns NULL if a=b otherwise returns a.
assert_true(boolean condition) Throw an exception if ‘condition’ is not true, otherwise return null.
ascii(string str) Returns the numeric value of the first character of str.
base64(binary bin) Converts the argument from binary to a base 64 string.
character_length(string str) Returns the number of UTF-8 characters contained in str.
chr(bigint double A)
concat(string binary A, string
context_ngrams(array<array >, array , int K, int pf) Returns the top-k contextual N-grams from a set of tokenized sentences.
concat_ws(string SEP, string A, string B…) Like concat() above, but with custom separator SEP.
decode(binary bin, string charset) Decodes the first argument into a String using the provided character set (one of ‘US-ASCII’, ‘ISO-8859-1’, ‘UTF-8’, ‘UTF-16BE’, ‘UTF-16LE’, ‘UTF-16’). If either argument is null, the result will also be null.
elt(N int,str1 string,str2 string,str3 string,…) Return string at index number, elt(2,‘hello’,‘world’) returns ‘world’.
encode(string src, string charset) Encodes the first argument into a BINARY using the provided character set (one of ‘US-ASCII’, ‘ISO-8859-1’, ‘UTF-8’, ‘UTF-16BE’, ‘UTF-16LE’, ‘UTF-16’).
field(val T,val1 T,val2 T,val3 T,…) Returns the index of val in the val1,val2,val3,… list or 0 if not found.
find_in_set(string str, string strList) Returns the first occurance of str in strList where strList is a comma-delimited string.
format_number(number x, int d) Formats the number X to a format like '#,###,###.##' , rounded to D decimal places, and returns the result as a string. If D is 0, the result has no decimal point or fractional part.
get_json_object(string json_string, string path) Extracts json object from a json string based on json path specified, and returns json string of the extracted json object.
in_file(string str, string filename) Returns true if the string str appears as an entire line in filename.
instr(string str, string substr) Returns the position of the first occurrence of substr in str.
length(string A) Returns the length of the string.
locate(string substr, string str[, int pos]) Returns the position of the first occurrence of substr in str after position pos.
lower(string A) lcase(string A) Returns the string resulting from converting all characters of B to lower case.
lpad(string str, int len, string pad) Returns str, left-padded with pad to a length of len. If str is longer than len, the return value is shortened to len characters.
ltrim(string A) Returns the string resulting from trimming spaces from the beginning(left hand side) of A.
ngrams(array<array >, int N, int K, int pf) Returns the top-k N-grams from a set of tokenized sentences, such as those returned by the sentences() UDAF.
octet_length(string str) Returns the number of octets required to hold the string str in UTF-8 encoding.
parse_url(string urlString, string partToExtract [, string keyToExtract]) Returns the specified part from the URL. Valid values for partToExtract include HOST, PATH, QUERY, REF, PROTOCOL, AUTHORITY, FILE, and USERINFO.
printf(String format, Obj… args) Returns the input formatted according do printf-style format strings.
regexp_extract(string subject, string pattern, int index) Returns the string extracted using the pattern.
regexp_replace(string INITIAL_STRING, string PATTERN, string REPLACEMENT) Returns the string resulting from replacing all substrings in INITIAL_STRING that match the java regular expression syntax defined in PATTERN with instances of REPLACEMENT.
repeat(string str, int n) Repeats str n times.
replace(string A, string OLD, string NEW) Returns the string A with all non-overlapping occurrences of OLD replaced with NEW.
reverse(string A) Returns the reversed string.
rtrim(string A) Returns the string resulting from trimming spaces from the end(right hand side) of A.
sentences(string str, string lang, string locale) Tokenizes a string of natural language text into words and sentences, where each sentence is broken at the appropriate sentence boundary and returned as an array of words.
space(int n) Returns a string of n spaces.
split(string str, string pat) Splits str around pat (pat is a regular expression).
str_to_map(text[, delimiter1, delimiter2]) Splits text into key-value pairs using two delimiters. Delimiter1 separates text into K-V pairs, and Delimiter2 splits each K-V pair. Default delimiters are ‘,’ for delimiter1 and ‘:’ for delimiter2.
substr(string binary A, int start)
substring_index(string A, string delim, int count) Returns the substring from string A before count occurrences of the delimiter delim.
translate(string char
trim(string A) Returns the string resulting from trimming spaces from both ends of A.
unbase64(string str) Converts the argument from a base 64 string to BINARY.
upper(string A) ucase(string A) Returns the string resulting from converting all characters of A to upper case. For example, upper(‘fOoBaR’) results in ‘FOOBAR’.
initcap(string A) Returns string, with the first letter of each word in uppercase, all other letters in lowercase. Words are delimited by whitespace.
levenshtein(string A, string B) Returns the Levenshtein distance between two strings.
soundex(string A) Returns soundex code of the string.
mask(string str[, string upper[, string lower[, string number]]]) Returns a masked version of str.
java_method(class, method[, arg1[, arg2..]]) Synonym for reflect.
reflect(class, method[, arg1[, arg2..]]) Calls a Java method by matching the argument signature, using reflection.
hash(a1[, a2…]) Returns a hash value of the arguments.
current_user() Returns current user name from the configured authenticator manager.
logged_in_user() Returns current user name from the session state.
current_database() Returns current database name.
md5(string/binary) Calculates an MD5 128-bit checksum for the string or binary.
sha1(string/binary)sha(string/binary) Calculates the SHA-1 digest for string or binary and returns the value as a hex string.
crc32(string/binary) Computes a cyclic redundancy check value for string or binary argument and returns bigint value.
sha2(string/binary, int) Calculates the SHA-2 family of hash functions (SHA-224, SHA-256, SHA-384, and SHA-512).
aes_encrypt(input string/binary, key string/binary) Encrypt input using AES.
aes_decrypt(input binary, key string/binary) Decrypt input using AES.
version() Returns the Hive version.
count(expr) Returns the total number of retrieved rows.
sum(col), sum(DISTINCT col) Returns the sum of the elements in the group or the sum of the distinct values of the column in the group.
avg(col), avg(DISTINCT col) Returns the average of the elements in the group or the average of the distinct values of the column in the group.
min(col) Returns the minimum of the column in the group.
max(col) Returns the maximum value of the column in the group.
variance(col), var_pop(col) Returns the variance of a numeric column in the group.
var_samp(col) Returns the unbiased sample variance of a numeric column in the group.
stddev_pop(col) Returns the standard deviation of a numeric column in the group.
stddev_samp(col) Returns the unbiased sample standard deviation of a numeric column in the group.
covar_pop(col1, col2) Returns the population covariance of a pair of numeric columns in the group.
covar_samp(col1, col2) Returns the sample covariance of a pair of a numeric columns in the group.
corr(col1, col2) Returns the Pearson coefficient of correlation of a pair of a numeric columns in the group.
percentile(BIGINT col, p) Returns the exact pth percentile of a column in the group (does not work with floating point types). p must be between 0 and 1.
percentile(BIGINT col, array(p1 [, p2]…)) Returns the exact percentiles p1, p2, … of a column in the group. pi must be between 0 and 1.
percentile_approx(DOUBLE col, p [, B]) Returns an approximate pth percentile of a numeric column (including floating point types) in the group. The B parameter controls approximation accuracy at the cost of memory. Higher values yield better approximations, and the default is 10,000. When the number of distinct values in col is smaller than B, this gives an exact percentile value.
percentile_approx(DOUBLE col, array(p1 [, p2]…) [, B]) Same as above, but accepts and returns an array of percentile values instead of a single one.
regr_avgx(independent, dependent) Equivalent to avg(dependent).
regr_avgy(independent, dependent) Equivalent to avg(independent).
regr_count(independent, dependent) Returns the number of non-null pairs used to fit the linear regression line.
regr_intercept(independent, dependent) Returns the y-intercept of the linear regression line, i.e. the value of b in the equation dependent = a * independent + b.
regr_r2(independent, dependent) Returns the coefficient of determination for the regression.
regr_slope(independent, dependent) Returns the slope of the linear regression line, i.e. the value of a in the equation dependent = a * independent + b.
regr_sxx(independent, dependent) Equivalent to regr_count(independent, dependent) * var_pop(dependent).
regr_sxy(independent, dependent) Equivalent to regr_count(independent, dependent) * covar_pop(independent, dependent).
regr_syy(independent, dependent) Equivalent to regr_count(independent, dependent) * var_pop(independent).
histogram_numeric(col, b) Computes a histogram of a numeric column in the group using b non-uniformly spaced bins. The output is an array of size b of double-valued (x,y) coordinates that represent the bin centers and heights
collect_set(col) Returns a set of objects with duplicate elements eliminated.
collect_list(col) Returns a list of objects with duplicates.
ntile(INTEGER x) Divides an ordered partition into x groups called buckets and assigns a bucket number to each row in the partition. This allows easy calculation of tertiles, quartiles, deciles, percentiles and other common summary statistics.
explode(ARRAY a) Explodes an array to multiple rows. Returns a row-set with a single column (col), one row for each element from the array.
explode(MAP<Tkey,Tvalue> m) Explodes a map to multiple rows. Returns a row-set with a two columns (key,value) , one row for each key-value pair from the input map.
posexplode(ARRAY a) Explodes an array to multiple rows with additional positional column of int type (position of items in the original array, starting with 0). Returns a row-set with two columns (pos,val), one row for each element from the array.
inline(ARRAY<STRUCT<f1:T1,…,fn:Tn>> a) Explodes an array of structs to multiple rows. Returns a row-set with N columns (N = number of top level elements in the struct), one row per struct from the array.
stack(int r,T1 V1,…,Tn/r Vn) Breaks up n values V1,…,Vn into r rows. Each row will have n/r columns. r must be constant.
json_tuple(string jsonStr,string k1,…,string kn) Takes JSON string and a set of n keys, and returns a tuple of n values.
parse_url_tuple(string urlStr,string p1,…,string pn) Takes URL string and a set of n URL parts, and returns a tuple of n values.

## Title 14

###### ECFR Content

Editorial codification of the general and permanent rules published in the Federal Register.

M25.1 Fuel tank flammability exposure requirements.

( a ) The Fleet Average Flammability Exposure of each fuel tank, as determined in accordance with Appendix N of this part, may not exceed 3 percent of the Flammability Exposure Evaluation Time (FEET), as defined in Appendix N of this part. As a portion of this 3 percent, if flammability reduction means (FRM) are used, each of the following time periods may not exceed 1.8 percent of the FEET:

( 1 ) When any FRM is operational but the fuel tank is not inert and the tank is flammable and

( 2 ) When any FRM is inoperative and the tank is flammable.

( b ) The Fleet Average Flammability Exposure, as defined in Appendix N of this part, of each fuel tank may not exceed 3 percent of the portion of the FEET occurring during either ground or takeoff/climb phases of flight during warm days. The analysis must consider the following conditions.

( 1 ) The analysis must use the subset of those flights that begin with a sea level ground ambient temperature of 80 °F (standard day plus 21 °F atmosphere) or above, from the flammability exposure analysis done for overall performance.

( 2 ) For the ground and takeoff/climb phases of flight, the average flammability exposure must be calculated by dividing the time during the specific flight phase the fuel tank is flammable by the total time of the specific flight phase.

( 3 ) Compliance with this paragraph may be shown using only those flights for which the airplane is dispatched with the flammability reduction means operational.

( a ) The applicant must provide data from analysis, ground testing, and flight testing, or any combination of these, that:

( 1 ) Validate the parameters used in the analysis required by paragraph M25.1 of this appendix

( 2 ) Substantiate that the FRM is effective at limiting flammability exposure in all compartments of each tank for which the FRM is used to show compliance with paragraph M25.1 of this appendix and

( 3 ) Describe the circumstances under which the FRM would not be operated during each phase of flight.

( b ) The applicant must validate that the FRM meets the requirements of paragraph M25.1 of this appendix with any airplane or engine configuration affecting the performance of the FRM for which approval is sought.

M25.3 Reliability indications and maintenance access.

( a ) Reliability indications must be provided to identify failures of the FRM that would otherwise be latent and whose identification is necessary to ensure the fuel tank with an FRM meets the fleet average flammability exposure requirements listed in paragraph M25.1 of this appendix, including when the FRM is inoperative.

( b ) Sufficient accessibility to FRM reliability indications must be provided for maintenance personnel or the flightcrew.

( c ) The access doors and panels to the fuel tanks with FRMs (including any tanks that communicate with a tank via a vent system), and to any other confined spaces or enclosed areas that could contain hazardous atmosphere under normal conditions or failure conditions, must be permanently stenciled, marked, or placarded to warn maintenance personnel of the possible presence of a potentially hazardous atmosphere.

M25.4 Airworthiness limitations and procedures.

( a ) If FRM is used to comply with paragraph M25.1 of this appendix, Airworthiness Limitations must be identified for all maintenance or inspection tasks required to identify failures of components within the FRM that are needed to meet paragraph M25.1 of this appendix.

( b ) Maintenance procedures must be developed to identify any hazards to be considered during maintenance of the FRM. These procedures must be included in the instructions for continued airworthiness (ICA).

M25.5 Reliability reporting.

The effects of airplane component failures on FRM reliability must be assessed on an on-going basis. The applicant/holder must do the following:

( a ) Demonstrate effective means to ensure collection of FRM reliability data. The means must provide data affecting FRM reliability, such as component failures.

( b ) Unless alternative reporting procedures are approved by the responsible Aircraft Certification Service office, as defined in part 26 of this subchapter, provide a report to the FAA every six months for the first five years after service introduction. After that period, continued reporting every six months may be replaced with other reliability tracking methods found acceptable to the FAA or eliminated if it is established that the reliability of the FRM meets, and will continue to meet, the exposure requirements of paragraph M25.1 of this appendix.

( c ) Develop service instructions or revise the applicable airplane manual, according to a schedule approved by the responsible Aircraft Certification Service office, as defined in part 26 of this subchapter, to correct any failures of the FRM that occur in service that could increase any fuel tank's Fleet Average Flammability Exposure to more than that required by paragraph M25.1 of this appendix.

[Doc. No. FAA-2005-22997, 73 FR 42494, July 21, 2008, as amended by Doc. No. FAA-2018-0119, Amdt. 25-145, 83 FR 9169, Mar. 5, 2018]

## SSR 83-14: TITLES II AND XVI: CAPABILITY TO DO OTHER WORK -- THE MEDICAL-VOCATIONAL RULES AS A FRAMEWORK FOR EVALUATING A COMBINATION OF EXERTIONAL AND NONEXERTIONAL IMPAIRMENTS

PURPOSE: To clarify how the table rules in Appendix 2, Subpart P, Regulations No. 4, provide a framework for decisions concerning persons who have both a severe exertional impairment and a nonexertional limitation or restriction.

CITATIONS (AUTHORITY): Sections 223(d)(2)(A) and 1614(a)(3)(B) of the Social Security Act Regulations No. 4, Subpart P, sections 404.1505(a), 404.1520(f)(1), 404.1545, 404.1560-404.1569 Appendix 2 of Subpart P, section 200.00(e)(2) and Regulations No. 16, Subpart I, sections 416.905(a), 416.920(f)(1), 416.945, 416.960-416.969.

PERTINENT HISTORY: No table rule applies to direct a conclusion of "Disabled" or "Not disabled" where an individual has a nonexertional limitation or restriction imposed by a medically determinable impairment. In these situations, the table rules are used, in conjunction with the definitions and discussions provided in the text of the regulations, as a framework for decisionmaking.

This Program Policy Statement (PPS) clarifies the distinction between exertional and nonexertional limitations and explains how the latter affect performance of work activities. The PPS also explains how to evaluate the vocational effects of nonexertional impairments within the context of the exertionally based table rules where claimants or beneficiaries also have severe exertional impairments that limit them to sedentary, light, or medium work.

See the cross-reference section at the end of this PPS for related PPS's, the first one of which contains a glossary of terms used.

POLICY STATEMENT: The term "exertional" has the same meaning in the regulations as it has in the United States Department of Labor's publication, the Dictionary of Occupational Titles (DOT). In the DOT supplement, Selected Characteristics of Occupations Defined in the Dictionary of Occupational Titles (SCO), occupations are classified as sedentary, light, medium, heavy, and very heavy according to the degree of primary strength requirements of the occupations. These consist of three work positions (standing, walking, and sitting) and four worker movements of objects (lifting, carrying, pushing, and pulling).

Any functional or environmental job requirement which is not exertional is "nonexertional." In the disability programs, a nonexertional impairment is one which is medically determinable and causes a nonexertional limitation of function or an environmental restriction. Nonexertional impairments may or may not significantly narrow the range of work a person can do. In the SCO, where specific occupations have critical demands for certain physical activities, they are rated for climbing or balancing stooping, kneeling, crouching or crawling reaching, handling, fingering, or feeling talking or hearing and seeing. Occupations are also rated for certain environmental conditions (e.g., high humidity or excessive dust). With respect to job complexity, occupations are rated by the training time required for average performance. Further, the occupational code numbers assigned to jobs reflect different levels of complexity in dealing with data, people, and objects. Narrative occupational descriptions in the DOT explain what is generally done in the job.

Effects of Nonexertional Impairments

Maintaining body equilibrium using the fingers and finger tips to work with small objects using the eyes and ears to see and hear and using the vocal apparatus to speak are considered nonexertional activities. Limitations of these functions can affect the capacity to perform certain jobs at all levels of physical exertion. An entire range of jobs can be severely compromised. For example, section 201.00(h) of Appendix 2 calls attention to the fact that bilateral manual dexterity is necessary for the performance of substantially all unskilled sedentary occupations.

Mental activities are also nonexertional. Jobs at various levels of complexity require mental functions such as intellectual competence and ability to function in terms of behavior, affect, thought, memory, orientation and contact with reality. Exposure to particular work stresses may not be medically sustainable for some persons with mental impairments, as would be the case with some persons who have physical impairments (e.g., certain cardiovascular or gastrointestinal disorders). Depending on the nature and extent of a person's mental impairment which does not meet or equal the criteria in the Listing of Impairments, relatively broad or narrow types of work may be precluded (e.g., dealing with a variety of abstract and concrete variables with nonverbal symbolism -- a highly skilled level of work -- or dealing frequently with members of the public -- a particular type of work at any level of complexity). Although mental impairments as such are considered to be nonexertional, some conditions (e.g., depression or a conversion reaction) may also affect a person's exertional capacity.

Working conditions (environmental demands) which a person may not be able to tolerate as a result of an impairment include exposure to extremes of heat or cold, humidity, noise, vibration, hazards, fumes, dust, and toxic conditions. Physical limitation of function may be linked with an environmental restriction (e.g., a respiratory impairment may diminish exertional capacity as well as restrict a person to types of work not requiring exposure to excessive dust or fumes). In other cases, functional ability may not be impaired by an environmental restriction (e.g., a person may be able to do anything so long as he or she is not near dangerous moving machinery, on unprotected elevations, or in contact with certain substances to which he or she is allergic).

After it has been decided that an impaired person can meet the primary strength requirements of sedentary, light, or medium work -- sitting, standing, walking, lifting, carrying, pushing, and pulling -- a further decision may be required as to how much of this potential occupational base remains, considering certain nonexertional limitations which the person may also have. For example, at all exertional levels, a person must have certain use of the arms and hands to grasp, hold, turn, raise, and lower objects. Most sedentary jobs require good use of the hands and fingers. In jobs performed in a seated position which require the operation of pedals or treadles, a person must have the use of his or her legs and feet. Relatively few jobs in the national economy require ascending or descending ladders and scaffolding. Two types of bending must be done frequently (from one-third to two-thirds of the time) in most medium, heavy, and very heavy jobs because of the positions of objects to be lifted, the amounts of weights to be moved, and the required repetitions. They are stooping (bending the body downward and forward by bending the spine at the waist) and crouching (bending the body downward and forward by bending both the legs and spine). However, to perform substantially all of the exertional requirements of most sedentary and light jobs, a person would not need to crouch and would need to stoop only occasionally (from very little up to one-third of the time, depending on the particular job).

For additional discussions of nonexertional impairments, see SSR 83-13, PPS-104, Capability to Do Other Work -- The Medical-Vocational Rules as a Framework for Evaluating Solely Nonexertional Impairments.

Section 200.00(e)(2) of Appendix 2 provides that, "where an individual has an impairment or combination of impairments resulting in both strength limitations and nonexertional limitations, the rules in this subpart are considered in determining first whether a finding of disabled may be possible based on the strength limitations alone and, if not, the rule(s) reflecting the individual's maximum residual strength capabilities, age, education, and work experience provide a framework for consideration of how much the individual's work capability is further diminished in terms of any types of jobs that would be contraindicated by the nonexertional limitations. Also, in these combinations of nonexertional and exertional limitations which cannot be wholly determined under the rules in this Appendix 2, full consideration must be given to all of the relevant facts in the case in accordance with the definitions and discussions of each factor in the appropriate sections of the regulations, which will provide insight into the adjudicative weight to be accorded each factor."

Disabled Based on Strength Limitations Alone

Where a person's residual functional capacity (RFC), age, education, and work experience coincide with the criteria of an exertionally based rule in Table No. 1, 2, or 3 -- and that rule directs a conclusion of "Disabled" -- there is no need to consider the additional effects of a nonexertional impairment since consideration of it would add nothing to the fact of disability. A written determination or decision supporting a conclusion must specify the rule in Appendix 2 which directs such conclusion. It must also reflect consideration of the individual steps of the sequential evaluation process specified in sections 404.1520 and 416.920 of the regulations. There must also be findings of fact based on the evidence in the individual claim which leads to the conclusion that the individual is not exertionally capable of doing work different from past work, considering the medical and vocational factors (See SSR 83-11, PPS-102, Capability to Do Other Work -- The Exertionally Based Medical-Vocational Rules Met.)

The Exertionally Based Rules as A Framework for Evaluating
Additional Impairments of a Nonexertional Nature

Where a person cannot be found disabled based on strength limitations alone, the rule(s) which corresponds to the person's vocational profile and maximum sustained exertional work capability (Table No. 1, 2, or 3) will be the starting point to evaluate what the person can still do functionally. The rules will also be used to determine how the totality of limitations or restrictions reduces the occupational base of administratively noticed unskilled sedentary, light, or medium jobs.

A particular additional exertional or nonexertional limitation may have very little effect on the range of work remaining that an individual can perform. The person, therefore, comes very close to meeting a table rule which directs a conclusion of "Not disabled." On the other hand, an additional exertional or nonexertional limitation may substantially reduce a range of work to the extent that an individual is very close to meeting a table rule which directs a conclusion of "Disabled."

Use of a vocational resource may be helpful in the evaluation of what appear to be "obvious" types of cases. In more complex situations, the assistance of a vocational resource may be necessary. The publications listed in sections 404.1566 and 416.966 of the regulations will be sufficient for relatively simple issues. In more complex cases, a person or persons with specialized knowledge would be helpful. State agencies may use personnel termed vocational consultants or specialists, or they may purchase the services of vocational evaluation workshops. Vocational experts may testify for this purpose at the hearing and Appeals Council levels. In this PPS, the term vocational specialist (VS) describes all vocational resource personnel.

Examples of Evaluation Involving Combinations of
Exertional and Nonexertional Limitations

1. Sedentary exertion combined with a nonexertional impairment. Example 1 of section 201.00(h) in Appendix 2 illustrates a limitation to unskilled sedentary work with an additional loss of bilateral manual dexterity that is significant and, thus, warrants a conclusion of "Disabled." (The bulk of unskilled sedentary jobs requires bilateral manual dexterity.) An example of nonexertional impairment which ordinarily has an insignificant effect on a per son's ability to work is an allergy to ragweed pollen. Many individuals who have this allergy experience no more discomfort during the ragweed season than someone who has a common cold. However, others are more affected by the condition. Assuming that an individual has a severe impairment of the low back which limits that person to sedentary work, and that the assessment of RFC also restricts him or her from workplaces which involve exposure to ragweed pollen, the implications for adjustment to sedentary work are relatively clear. Ragweed grows outdoors and its pollen is carried in the air, but the overwhelming majority of sedentary jobs are performed indoors. Therefore, with the possible exclusion of some outdoor sedentary occupations which would require exposure to ragweed pollen, the unskilled sedentary occupational base is not significantly compromised. The decisionmaker may need the assistance of a VS in determining the significance of the remaining occupational base of unskilled sedentary work in more difficult cases. 2. Light exertion combined with a nonexertional impairment. The major difference between sedentary and light work is that most light jobs -- particularly those at the unskilled level of complexity -- require a person to be standing or walking most of the workday. Another important difference is that the frequent lifting or carrying of objects weighing up to 10 pounds (which is required for the full range of light work) implies that the worker is able to do occasional bending of the stooping type, i.e., for no more than one-third of the workday to bend the body downward and forward by bending the spine at the waist. Unlike unskilled sedentary work, many unskilled light jobs do not entail fine use of the fingers. Rather, they require gross use of the hands to grasp, hold, and turn objects. Any limitation of these functional abilities must be considered very carefully to determine its impact on the size of the remaining occupational base of a person who is otherwise found functionally capable of light work. Where a person has a visual impairment which is not of Listing severity but causes the person to be a hazard to self and others -- usually a constriction of visual fields rather than a loss of acuity -- the manifestations of tripping over boxes while walking, inability to detect approaching persons or objects, difficulty in walking up and down stairs, etc., will indicate to the decisionmaker that the remaining occupational base is significantly diminished for light work (and medium work as well). On the other hand, there are nonexertional limitations or restrictions which have very little or no effect on the unskilled light occupational base. Examples are inability to ascend or descend scaffolding, poles, and ropes inability to crawl on hands and knees and inability to use the finger tips to sense the temperature or texture of an object. Environmental restrictions, such as the need to avoid exposure to feathers, would also not significantly affect the potential unskilled light occupational base. Where nonexertional limitations or restrictions within the light work category are between the examples above, a decisionmaker will often require the assistance of a VS. 3. Medium exertion combined with a nonexertional impairment. Most medium jobs, like most light jobs, require the worker to stand or walk most of the time. Also, as in light work, most unskilled medium jobs require gross use of the hands to grasp, hold, and turn objects rather than use of the fingers for fine movements of small objects. Medium work is distinct from the less strenuous levels in the activities needed to accomplish the considerable lifting and carrying involved for the full range of medium work. A maximum of 50 pounds may be lifted at a time, with frequent lifting or carrying of objects weighing up to 25 pounds. (Frequent in this context means from one-third to two-thirds of the workday.) Consequently, to perform the full range of medium work as defined, a person must be able to do both frequent stooping and frequent crouching -- bending both the back and the legs -- in order to move objects from one level to another or to move the objects near foot level. While individual occupations classified as medium work vary in exertional demands from just above the light work requirements to the full range of medium work, any limitation of these functional abilities must be considered very carefully to determine its impact on the size of the remaining occupational base of a person who is otherwise found capable of medium work. In jobs at the medium level of exertion, there is more likelihood than in light work that such factors as the ability to ascend or descend ladders and scaffolding, kneel, and crawl will be a part of the work requirement. However, limitations of these activities would not significantly affect the occupational base. As in light work, inability to use the finger tips to sense the temperature or texture of an object is an example of a nonexertional limitation which would have very little effect on the potential unskilled medium occupational base. The need to avoid environments which contain objects or substances commonly known not to exist in most workplaces would be an obvious example of a restriction which does not significantly affect the medium occupational base. Where nonexertional limitations or restrictions within the medium work category are between the examples above, a decisionmaker will often require the assistance of a VS. The Disability Determination or Decision Based on a Combination of Exertional and Nonexertional Impairments

The usual requirements apply for a clear, persuasive, orderly rationale, reflecting the sequential evaluation process. There must be findings of fact and recitation of the evidence which supports each finding (see SSR 82-56, PPS-81, The Sequential Evaluation Process). Whenever a vocational resource is used and an individual is found to be not disabled, the determination or decision will include (1) citations of examples of occupations/jobs the person can do functionally and vocationally and (2) a statement of the incidence of such work in the region in which the individual resides or in several regions of the country.

In reaching judgments as to the sufficiency of the remaining exertional job base (approximately 2,500 unskilled medium, light, and sedentary occupations, approximately 1,600 unskilled light and sedentary occupations, and approximately 200 unskilled sedentary occupations), there are three possible situations to consider:

1. Where it is clear that the additional limitation or restriction has very little effect on the exertional occupational base, the conclusion directed by the appropriate rule in Tables No. 1, 2, or 3 would not be affected. 2. Where it is clear that additional limitations or restrictions have significantly eroded the exertional job base set by the exertional limitations alone, the remaining portion of the job base will guide the decision. 3. Where the adjudicator does not have a clear understanding of the effects of additional limitations on the job base, the services of a VS will be necessary.

EFFECTIVE DATE: Final regulations providing the Medical-Vocational Guidelines were published in the Federal Register on November 28, 1978, at 43 FR 55349, effective February 26, 1979. They were rewritten to make them easier to understand and were published on August 20, 1980, at 45 FR 55566. The policies in this PPS also became effective as of February 26, 1979.

CROSS-REFERENCES: Program Operations Manual System, Part 4 (Disability Insurance State Manual Procedures), section DI 2388. A.5.b., SSR 83-10, PPS-101, Determining Capability to Do Other Work -- The Medical-Vocational Rules of Appendix 2 (with a glossary) SSR 83-11, PPS-102, Capability to Do Other Work -- The Exertionally Based Medical-Vocational Rules Met SSR 83-12, PPS-103, Capability to Do Other Work -- The Medical-Vocational Rules as a Framework for Evaluating Exertional Limitations Within a Range of Work or Between Ranges of Work and SSR 83-13, PPS-104, Capability to Do Other Work -- The Medical-Vocational Rules as a Framework for Evaluating Solely Nonexertional Impairments.

## Rev. Proc. 2011-11

.01 This revenue procedure provides: (1) the maximum value of employer-provided vehicles first made available to employees for personal use in calendar year 2010 for which the vehicle cents-per-mile valuation rule provided under section 1.61-21(e) of the Income Tax Regulations may be applicable is $15,300 for a passenger automobile and$16,200 for a truck or van (2) the maximum value of employer-provided vehicles first made available to employees for personal use in calendar year 2010 for which the fleet-average valuation rule provided under section 1.61-21(d) of the regulations may be applicable is $20,300 for a passenger automobile and$21,200 for a truck or van.

## OMB Circulars in Numerical Sequence

OMB Circular-019, Legislative Coordination and Clearance (09/20/1979)

OMB Circular A-21, Cost Principles for Educational Institutions (05/10/2004) (109 pages, 263 KB)

OMB Circular-025, Transmittal Memorandum #1, User Charges (07/08/1993)

OMB Circular A-34, Instructions on Budget Execution (Rescinded 6/27/2002 superseded by OMB Circular No. A-11, Part 4 (146 pages, 1,034 KB)

OMB Circular-045, Rental and Construction of Government Quarters (11/25/2019)

OMB Circular-050, Audit Follow Up (09/29/1982)

OMB Circular A-76, Performance of Commercial Activities (05/29/2003) including changes made by OMB Memorandum M-07-02 (10/31/2006) (4 pages, 51 KB) and a technical correction made by OMB Memorandum M-03-20 (08/15/2003) (63 pages, 518 KB)

• Note: Please see OMB Memoranda M-04-12 (1 page, 36 KB), Performance Periods in Public-Private Competitions (April 30, 2004), M-06-13 (5 pages, 42 KB), Competitive Sourcing under Section 842(a) of P.L. 109-115 (April 24, 2006), and M-08-11 (8 pages, 60 KB), Competitive Sourcing Requirements in Division D of Public Law 110-161 (February 20, 2008) when applying the following provisions of OMB Circular A-76: Paragraphs 4.c and 5.d Attachment B, Paragraphs A.5, C.1.a, C.1.c, D.3.a(7), and D.5.b(3) Attachment C, Paragraphs A.5, A.12, C.3 and Section D. (05/29/03) (9 pages, 116 KB)

Implementing the FAIR Act

• Transmittal Memorandum #20 (06/14/1999) PDF (23 pages, 85 KB)
• Transmittal Memorandum #21 (04/27/2000) PDF
• Transmittal Memorandum #22 (08/31/2000) PDF (2 pages, 8 KB)
• Transmittal Memorandum #23 (03/14/2001) PDF (3 pages, 8 KB)
• Transmittal Memorandum #24 (02/27/2002) PDF (4 pages, 8 KB)
• Transmittal Memorandum #25 (03/14/2003) PDF

Proposed Revised OMB Circular A-76 (November 14, 2002) (62 pages, 926 KB) (for agency and public comment)

Docket of Comments to Proposed Revised OMB Circular A-76

• Historical Circular A-76, Performance of Commercial Activities, (08/04/1983) (Revised 06/14/1999) PDF (8 pages, 29 KB) (77 pages, 968 KB) (04/01/1996) (Revised 06/14/1999)

OMB Circular A-87, Cost Principles for State, Local and Indian Tribal Governments (05/10/2004)(58 pages, 216 KB)

OMB Circular A-89, Catalog of Federal Domestic Assistance (08/17/1984)

OMB Circular A-94, “Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs” (10/29/1992)(22 pages, 78 KB)

OMB Circular-097, Rules and Regulations Permitting Federal Agencies to Provide Specialized or Technical Services to State and Local Units of Government Under Title III of the Intergovernmental Cooperation Act of 1968 (08/29/1969)

OMB Circular A-102, Grants and Cooperative Agreements With State and Local Governments (10/07/1994) (further amended 08/29/1997) (10 pages, 43 KB)

OMB Circular A-108, Federal Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act (45 pages, 273 KB)

OMB Circular A-110 Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations (11/19/1993) (further amended 09/30/1999, Relocated to 2 CFR, Part 215 (32 pages, 243 KB)

OMB Circular A-119, Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities

, “Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities” (01/27/2016) , Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities (01/27/2016 – 43 pages, 506 KB) ,Transmittal Memorandum, Federal Participation in the Development and Use of Voluntary Standards (02/10/1998)

OMB Circular A-122, Cost Principles for Non-Profit Organizations (05/10/2004)(55 pages, 220 kb), Relocated to 2 CFR, Part 230 (17 pages, 235 KB)

OMB Circular A-123

• Note: Portions of this policy have been modified by M-17-26, Reducing Burden for Federal Agencies by Rescinding and Modifying OMB Memoranda, issued June 15, 2017. Please refer to that memorandum for more information
• Chapter 5 of Appendix B
• Government Charge Card Reporting pursuant to Appendix B
(Revised 6/6/2018) (9 pages, 199 KB) (Revised 08/27/2019) (71 pages, 8,118 KB) (March 05, 2021) (78 pages, 2.7 MB)
• OMB Circular A-125, was rescinded and replaced by the Prompt Pay regulations at 5 CFR Part 1315

OMB Circular A-126, Improving the Management and Use of Government Aircraft (05/22/1992)

• Note: Portions of this policy have been paused by M-17-26, Reducing Burden for Federal Agencies by Rescinding and Modifying OMB Memoranda, issued June 15, 2017. Please refer to that memorandum for more information

OMB Circular A-127, was rescinded and replaced by Circular No. A-123 Appendix D

OMB Circular A-129, Policies for Federal Credit Programs and Non-Tax Receivables (Revised 01/2013)(52 pages, 3.03 MB)

• Transmittal Letter PDF (2 pages, 508 KB)
• Policies for Federal Credit Programs and Non-Tax Receivables PDF (24 pages, 440 KB)
• Attachment: Write-Off/Close-out Processes for Receivables PDF (1 page, 142 KB)
• Appendix A: Program Reviews PDF (4 pages, 261 KB)
• Appendix B: Model Bill Language for Credit Programs PDF (2 pages, 164 KB)
• Appendix C: Management and Oversight Structures PDF (4 pages, 206 KB)
• Appendix D: Effective Reporting for Data-Driven Decision Making PDF (8 pages, 1.34 MB)
• Appendix E: Communications Policies PDF (4 pages, 197 KB)

OMB Circular A-130, Managing Information as a Strategic Resource

, “Managing Information as a Strategic Resource” (07/28/2016) , “Managing Information as a Strategic Resource” (7/28/2016 – 85 pages, 538 KB) , Value Engineering (12/26/2013) (8 pages, 334 KB)
• Note: Portions of this policy have been paused by M-17-26, Reducing Burden for Federal Agencies by Rescinding and Modifying OMB Memoranda, issued June 15, 2017. Please refer to that memorandum for more information. (8 pages, 301 KB)

OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations (includes revisions published in the Federal Register 06/27/2003 and 06/26/2007) (34 pages, 173 KB)

OMB Circular A-134, Financial Accounting Principles and Standards (05/20/1993)

OMB Circular A-135, Management of Federal Advisory Committees (10/05/1994)

OMB Circular A-136, Financial Reporting Requirements – Revised (8/27/2020) (120 pages, 4.31 MB)

, Financial Reporting Requirements – Revised (6/28/2019) (119 pages, 2.32 MB) , Financial Reporting Requirements – Revised (7/30/2018) (123 pages, 2 MB) , Financial Reporting Requirements – Revised (8/15/2017) (124 pages, 2.07 MB) , Financial Reporting Requirements – Revised (10/7/2016) (172 pages, 3.66 MB) , Financial Reporting Requirements – Revised (8/4/2015) (186 pages, 3.48 MB) , Financial Reporting Requirements – Revised (9/18/2014) (183 pages, 1.78 MB) , Financial Reporting Requirements – Revised (10/21/2013) (185 pages, 8.17 MB) , Financial Reporting Requirements – Revised (8/3/2012) (181 pages, 8.15 MB) , Financial Reporting Requirements – Revised (10/27/2011) (182 pages, 6.32 MB) , Financial Reporting Requirements – Revised (09/29/2010) (177 pages, 1.12 MB)

## 14: Appendix

Visit the Office of Administrative Law website (managed by Thomson Reuters/Westlaw) for access to the official online version of all California regulations. To obtain the CCR in print, please contact the State's official publisher, Barclays Official California Code of Regulations. Below are links to specific parts of the official online version of the CCR related to CalRecycle.

• Title 14, Division 2, Chapter 5, CCR (web site): Browse official online version of regulations pertaining to the Beverage Container Recycling and Litter Reduction Act. An unofficial PDF version is also available (last updated April 1, 2014).
• Title 14, CCR, Division 7: Current CalRecycle regulations pertaining to all other nonhazardous waste management in California.
. (Last update: January 2019) . For ease of access, this partial document includes only the most referenced sections of the regulations. (Last update: January 2019)
• CalRecycle maintains original copies of certain forms that are available on the official CCR web site only as lower resolution scans.

The remainder of this page provides an easy way to scan the CalRecycle topics included in Title 14 and link directly to each article on the Westlaw CCR site.

## Appendix E to Part 91 - Airplane Flight Recorder Specifications

### 14:2.0.1.3.12.16.9.1.28 : Appendix E

Parameters Range Installed system 1 minimum accuracy (to recovered data) Sampling interval (per second) Resolution 4 read out
Relative Time (From Recorded on Prior to Takeoff) 8 hr minimum ±0.125% per hour 1 1 sec.
Indicated Airspeed Vso to VD (KIAS) ±5% or ±10 kts., whichever is greater. Resolution 2 kts. below 175 KIAS 1 1% 3
Altitude −1,000 ft. to max cert. alt. of A/C ±100 to ±700 ft. (see Table 1, TSO C51-a) 1 25 to 150 ft.
Vertical Acceleration −3g to + 6g ±0.2g in addition to ±0.3g maximum datum 4 (or 1 per second where peaks, ref. to 1g are recorded) 0.03g.
Longitudinal Acceleration ±1.0g ±1.5% max. range excluding datum error of ±5% 2 0.01g.
Pitch Attitude 100% of usable ±2° 1 0.8°
Roll Attitude ±60° or 100% of usable range, whichever is greater ±2° 1 0.8°
Stabilizer Trim Position, or Full Range ±3% unless higher uniquely required 1 1% 3
Pitch Control Position 5
Engine Power, Each Engine: Full Range ±3% unless higher uniquely required 1 1% 3
Fan or N 1 Speed or EPR or Cockpit indications Used for Aircraft Certification OR Maximum Range ±5% 1 1% 3
Prop. speed and Torque (Sample Once/Sec as Close together as Practicable) 1 (prop Speed)
1 (torque)
1% 3
1% 3
Altitude Rate 2 (need depends on altitude resolution) ±8,000 fpm ±10%. Resolution 250 fpm below 12,000 ft. indicated 1 250 fpm. below 12,000
Angle of Attack 2 (need depends on altitude resolution) −20° to 40° or 100% of usable range ±2° 1 0.8% 3
Radio Transmitter Keying (Discrete) On/Off 1
TE Flaps (Discrete or Analog) Each discrete position (U, D, T/O, AAP) OR 1
LE Flaps (Discrete or Analog) Analog 0-100% range ±3% 1 1% 3
Each discrete position (U, D, T/O, AAP) OR 1
Thrust Reverser, Each Engine (Discrete) Analog 0-100% range ±3° 1 1% 3
Stowed or full reverse
Spoiler/Speedbrake (Discrete) Stowed or out 1
Autopilot Engaged (Discrete) Engaged or Disengaged 1

1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.

2 If data from the altitude encoding altimeter (100 ft. resolution) is used, then either one of these parameters should also be recorded. If however, altitude is recorded at a minimum resolution of 25 feet, then these two parameters can be omitted.

4 This column applies to aircraft manufactured after October 11, 1991.

5 For Pitch Control Position only, for all aircraft manufactured on or after April 6, 2012, the sampling interval (per second) is 8. Each input must be recorded at this rate. Alternately sampling inputs (interleaving) to meet this sampling interval is prohibited.

## Appendices

Fundamental activities that involve working with a patient who has been diagnosed with an infectious disease to identify and provide support to people (contacts) who may have been infected through exposure to the patient. This process prevents further transmission of disease by separating people who have (or may have) an infectious disease from people who do not.

Close Contact

Someone who has been within 6 feet of an infected person (laboratory-confirmed or a clinically compatible illness) for a cumulative total of 15 minutes or more over a 24-hour period (for example, three individual 5-minute exposures for a total of 15 minutes in one day). An infected person can spread SARS-CoV-2 starting from 2 days before they have any symptoms (or, for asymptomatic patients, 2 days before the positive specimen collection date), until they meet criteria for discontinuing home isolation.

Public Health Recommendations:

Except in certain circumstances, people who have been in close contact with someone who has COVID-19 should quarantine. However, the following people with recent exposure may NOT need to quarantine:

A number of factors can influence COVID-19 exposure risk, including type, proximity, and duration of exposure, environmental factors (for example, crowding), vaccination status, prior COVID-19 infection, and mask use.

Correct and consistent mask use is a critical step that people can take to protect themselves and others from COVID-19. However, the type of masks used, and whether or not they are used consistently and correctly varies throughout the general population. Therefore, mask use is not considered when determining COVID-19 exposure and the definition of a close contact during case investigation and contact tracing, regardless of whether the person diagnosed with and/or the person exposed to COVID-19 was wearing a mask. (Note: Exposure risk in the healthcare setting is determined separately and outlined in CDC guidance).

Confirmed COVID-19 Case

Report of person with COVID-19 and meeting confirmatory laboratory evidence.

Contact Elicitation Window

The timeframe when the case was likely infectious and not under isolation. This is the time period for which possible contacts should be elicited.

Critical Infrastructure Worker

Having come into contact with a cause of, or possessing a characteristic that is a determinant of, a particular health problem. Principles of Epidemiology in Public Health Practice.

First-responder

Law enforcement, fire services, emergency medical services, and emergency management officials. EMS Guidance.

Healthcare personnel

All paid and unpaid people serving in healthcare settings who have the potential for direct or indirect exposure to patients or infectious materials, including body substances contaminated medical supplies, devices, and equipment contaminated environmental surfaces or contaminated air. Potential Exposure at Work.

Incubation period

Period of time between exposure to an infection and onset of symptoms

The separation of a person or group of people known or reasonably believed to be infected with a communicable disease and potentially infectious from those who are not infected to prevent spread of the communicable disease. Isolation for public health purposes may be voluntary or compelled by federal, state, or local public health order.

Multigenerational Household

Households that consist of more than two generations living under the same roof external icon . Many researchers also include households with a grandparent and at least one other generation.

Probable COVID-19 Case

Report of person meeting clinical AND epidemiologic evidence of COVID-19 but without confirmatory laboratory evidence. More about Probable COVID-19 Case pdf icon [252 KB, 10 Pages] external icon .

The separation of a person or group of people reasonably believed to have been exposed to a communicable disease but not yet symptomatic from others who have not been so exposed to prevent the possible spread of the communicable disease. Quarantine may be voluntary or compelled by federal, state, or local public health order.

When the locating information provided for a patient or close contact is insufficient, case investigation and contact tracing may come to an abrupt halt. The following list includes additional resources that may be used to obtain missing locating information and keep the investigation moving forward.

• State DMV records
• Online people search engines (may incur additional costs)
• Health department records
• Following up with the index case to ask for additional locating information on a contact
• Jail and other correctional facility records
• Property tax records
• Frequent shopper cards
• Women Infants and Children Program, Food Stamps and other social services records
• Online white pages
• Employment records
Case Investigation
Data Element Type Codes Notes
Locating Information
Investigator Open Text Name of investigator
Investigator ID Numeric
Date Assigned for Investigation Date
Index patient ID Numeric Autogenerated
Lot Number (to link related cases and contacts) Numeric To track clusters
Patient Last Name Open Text
Patient First Name Open Text
Patient Preferred Name Open Text
DOB Date
Gender Categorical M/F/Other/Unk
Primary Language Open Text/Categorical
Interpreter used Categorical Y/N/U/R
City of Residence Open Text
County of Residence Open Text
State of Residence Open Text
Zip code Numeric
Tribal Affiliation Open Text
Born in the United States Categorical Y/N/U/R
Phone Number 1 Numeric
Phone Number 2 Numeric
Email 1 Open Text
Email 2 Open Text
Ok to Text Categorical Yes, No, Partial, Refused
Ok to Email Categorical Yes, No, Partial, Refused
Race Categorical Check all apply Use Census pdf icon [454 KB, 4 Pages] external icon or HHS external icon categories
Ethnicity Categorical Check box Use Census pdf icon [454 KB, 4 Pages] external icon or HHS external icon categories
Date of interview Attempt 1 Date
Interview 1 occurred Categorical Yes, No, Partial, Refused
Date of interview Attempt 2 Date
Interview 2 occurred Categorical Yes, No, Partial, Refused
Date of interview Attempt 3 Date
Interview 3 occurred Categorical Yes, No, Partial, Refused
Symptoms and Clinical Course
Fever Categorical Check Box (Y/N/U/R)
Cough Categorical Check Box (Y/N/U/R)
Shortness of Breath Categorical Check Box (Y/N/U/R)
Diarrhea/GI Categorical Check Box (Y/N/U/R)
Muscle ache Categorical Check Box (Y/N/U/R)
Chills Categorical Check Box (Y/N/U/R)
Sore throat Categorical Check Box (Y/N/U/R)
Vomiting Categorical Check Box (Y/N/U/R)
Abdominal Pain Categorical Check Box (Y/N/U/R)
Nasal congestion Categorical Check Box (Y/N/U/R)
Loss of sense of smell Categorical Check Box (Y/N/U/R)
Loss of sense of taste Categorical Check Box (Y/N/U/R)
Malaise Categorical Check Box (Y/N/U/R)
Fatigue Categorical Check Box (Y/N/U/R)
Other symptom Categorical
Other symptom description Open Text
Date of symptom onset Date
SARS-CoV-2 testing Categorical Check Box (Y/N/U/R)
Date of first SARS-CoV-2 test Date
Results of first SARS-CoV-2 test Categorical Pos/Neg/Equi/Unk
Date of last SARS-CoV-2 test Date
Results of last SARS-CoV-2 test Categorical Pos/Neg/Equi/Unk
Hospitalized Categorical Yes, No, Partial, Refused
Pneumonia Categorical Yes, No, Partial, Refused
ECMO
ICU Categorical Yes, No, Partial, Refused
Death Categorical Yes, No, Partial, Refused
Stroke Categorical Yes, No, Partial, Refused
MI Categorical Yes, No, Partial, Refused
Pre-existing conditions
Chronic lung disease Categorical Yes, No, Partial, Refused
Diabetes Categorical Yes, No, Partial, Refused
Severe Obesity (BMI>=40) Categorical Yes, No, Partial, Refused
CVD Categorical Yes, No, Partial, Refused
Chronic renal disease Categorical Yes, No, Partial, Refused
Chronic liver disease Categorical Yes, No, Partial, Refused
Immunocompromised Categorical Yes, No, Partial, Refused
Pregnant (if Female) Categorical Yes, No, Partial, Refused
Risk Factors
Contact with confirmed COVID case Categorical Y/N/U/R
Employed Categorical Yes/No-unemployed/No-retired/No-unable to work/No-student
If employed, what occupation Open text
If employed, what kind of workplace Open text
HCP Categorical Y/N/U/R Work or volunteer in a healthcare setting
If HCP, what kind of setting
Hospital Categorical Check box
Ambulatory care Categorical Check box
EMS/Fire/Law Enforcement/1st responder Categorical Check box
Urgent care Categorical Check box
Long term care Categorical Check box
Hospice Categorical Check box
Name of HCP setting Open Text
Address of HCP setting Open Text
Congregate setting Categorical Y/N/U/R Do you live or work in congregate setting
If Congregate, what kind
Corrections Categorical Check box
Dorm Categorical Check box
Group home Categorical Check box
Multi-family household Categorical Check box
Multi-generational household Categorical Check box
Name of congregate setting Open Text
Address of congregate setting Open Text
Contact Tracing (during contact elicitation window)
Any household contact Categorical Y/N/U/R
Total Number of household contacts Numeric
Can you self-isolate Categorical Y/N/U/R Add in script what this means (use of bedroom and bathroom away from others)
Do you need assistance to self-isolate Categorical Y/N/U/R
Any intimate partners Categorical Y/N/U/R Partners you do not reside with
Total Number of Intimate Partners Numeric
Any other people in close-contact with, including coworkers Categorical Y/N/U/R
Contact Elicitation Investigation
Data Element Type Codes Notes
Index Information Collected on the index
Investigator Open Text Name of investigator
Investigator ID Numeric
Date Assigned for Investigation Date
Index patient ID Numeric Autogenerated
Lot Number Numeric To track clusters
Date of contact elicitation Date
Start date of Contact Elicitation Window Date
End date of Contact Elicitation Window Date
Contact Last Name Open Text
Contact First Name Open Text
Contact AKA Open Text
Contact Phone 1 Open Text
Contact Phone 2 Open Text
Contact email 1 Open Text
Contact email 2 Open Text
Contact social media handle 1 Open Text Twitter, Grindr, etc.
Contact social media handle 2 Open Text
Contact setting Check all that apply
Home Check box
School Check box
Day Care Check box
Workplace Check box includes customers/clients/patients and coworkers
Place of Worship Check box
Shelter Check box
Hospital/Medical Care Check box
Travel or Transit Check box
Retail setting Check box includes, supermarkets, gas stations, farmers markets, etc.
Duration of Exposure (minutes) Numeric
Pre-existing conditions If known
Chronic lung disease Categorical Y/N/U/R
Diabetes Categorical Y/N/U/R
Severe Obesity (BMI>=40) Categorical Y/N/U/R
CVD Categorical Y/N/U/R
Chronic renal disease Categorical Y/N/U/R
Chronic liver disease Categorical Y/N/U/R
Immunocompromised Categorical Y/N/U/R
Pregnant (if Female) Categorical Y/N/U/R
Risk Factors If known
HCP Categorical Y/N/U/R Work or volunteer in a healthcare setting
If HCP, what kind of setting
Hospital Categorical Check box
Ambulatory care Categorical Check box
EMT/Fire/1st responder Categorical Check box
Urgent care Categorical Check box
Long term care Categorical Check box
Hospice Categorical Check box
Congregate setting Categorical Y/N/U/R Do you live or work in congregate setting
If Congregate, what kind
Corrections Categorical Check box
Dorm Categorical Check box
Group home Categorical Check box
Multi-family household Categorical Check box
Multi-generational household Categorical Check box
Community Settings
Travel risk Categorical Y/N/U/R Train, plane, public transit
Specify travel Open Text List specific flights, routes, etc.
Workplace Categorical Y/N/U/R
Specify workplace Open Text Specific work locations
Retail Categorical Y/N/U/R
Specify retail Open Text
Large community social event Categorical Y/N/U/R
Specify Open Text
Recreational activity Categorical Y/N/U/R
Specify Open Text
Places of Worship Categorical Y/N/U/R
Specify Open Text
Contact Investigation
Data Element Type Codes Notes
Locating Information
Investigator Open Text Name of investigator
Investigator ID Numeric
Date Assigned for Investigation Date
Index patient ID Numeric Autogenerated
Lot Number Numeric To track clusters
Contact patient ID Numeric
Contact Last Name Open Text
Contact First Name Open Text
Contact Preferred Name Open Text
DOB Date
Gender Categorical M/F/Other/Unk
Primary Language Open Text/Categorical
Interpreter used Categorical Y/N/U/R
City of Residence Open Text
County of Residence Open Text
State of Residence Open Text
Zip code Numeric
Tribal Affiliation Open Text
Born in the United States Categorical Y/N/U/R
Phone Number 1 Numeric
Phone Number 2 Numeric
Email 1 Open Text
Email 2 Open Text
Ok to Text Categorical Yes, No, Partial, Refused
Ok to Email Categorical Yes, No, Partial, Refused
Race Categorical Check all apply Use Census pdf icon [454 KB, 4 Pages] external icon or HHS external icon categories
Ethnicity Categorical Check box Use Census pdf icon [454 KB, 4 Pages] external icon or HHS external icon categories
Date of interview Attempt 1 Date
Interview 1 occurred Categorical Yes, No, Partial, Refused
Date of interview Attempt 2 Date
Interview 2 occurred Categorical Yes, No, Partial, Refused
Date of interview Attempt 3 Date
Interview 3 occurred Categorical Yes, No, Partial, Refused
Any household contact Categorical Y/N/U/R
Total Number of household contacts Numeric
Can you self-isolate Categorical Y/N/U/R Add in script what this means (use of bedroom and bathroom away from others)
Do you need assistance to self-isolate Categorical Y/N/U/R
Symptoms and Clinical Course
Fever Categorical Check Box (Y/N/U/R)
Cough Categorical Check Box (Y/N/U/R)
Shortness of Breath Categorical Check Box (Y/N/U/R)
Diarrhea/GI Categorical Check Box (Y/N/U/R)
Muscle ache Categorical Check Box (Y/N/U/R)
Chills Categorical Check Box (Y/N/U/R)
Sore throat Categorical Check Box (Y/N/U/R)
Vomiting Categorical Check Box (Y/N/U/R)
Abdominal Pain Categorical Check Box (Y/N/U/R)
Nasal congestion Categorical Check Box (Y/N/U/R)
Loss of sense of smell Categorical Check Box (Y/N/U/R)
Loss of sense of taste Categorical Check Box (Y/N/U/R)
Other symptom Categorical
Other symptom description
Date of symptom onset Date
SARS-CoV-2 testing Categorical Check Box (Y/N/U/R)
Date of first SARS-CoV-2 test Date
Results of first SARS-CoV-2 test Categorical Pos/Neg/Equi/Unk
Date of last SARS-CoV-2 test Date
Results of last SARS-CoV-2 test Categorical Pos/Neg/Equi/Unk
Pre-existing conditions
Chronic lung disease Categorical Yes, No, Partial, Refused
Diabetes Categorical Yes, No, Partial, Refused
Severe Obesity (BMI>=40) Categorical Yes, No, Partial, Refused
CVD Categorical Yes, No, Partial, Refused
Chronic renal disease Categorical Yes, No, Partial, Refused
Chronic liver disease Categorical Yes, No, Partial, Refused
Immunocompromised Categorical Yes, No, Partial, Refused
Pregnant (if Female) Categorical Yes, No, Partial, Refused
Risk Factors
Contact with confirmed COVID case Categorical Y/N/U/R
Employed Categorical Yes/No-unemployed/No-retired/No-unable to work/No-student
If employed, what occupation Open text
If employed, what kind of workplace Open text
HCP Categorical Y/N/U/R Work or volunteer in a healthcare setting
If HCP, what kind of setting
Hospital Categorical Check box
Ambulatory care Categorical Check box
EMS/Fire/Law Enforcement/1st responder Categorical Check box
Urgent care Categorical Check box
Long term care Categorical Check box
Hospice Categorical Check box
Name of HCP setting Open Text
Address of HCP setting Open Text
Congregate setting Categorical Y/N/U/R Do you live or work in congregate setting
If Congregate, what kind
Corrections Categorical Check box
Dorm Categorical Check box
Group home Categorical Check box
Multi-family household Categorical Check box
Multi-generational household Categorical Check box
Name of congregate setting Open Text
Address of congregate setting Open Text

Once states have lower COVID-19 case rates for at least 14 days, widely available testing, and adequate medical/hospital resources, contact tracing becomes an important strategy to eliminate transmission of SARS-CoV-2, the virus that causes COVID-19. Contact tracing involves multiple steps, including case investigation of COVID-19 clients, notification of close contacts, and daily monitoring of close contacts. This process can be labor-intensive, and communities have different circumstances that affect contact tracing activities. These factors include the number of persons diagnosed with COVID-19 each day, number of contacts per patient, and the amount of time and resources needed to reach and follow the clients and contacts. The number of contact tracers needed is large and will vary by community. Each community will need to examine local case load and other factors to estimate how many contact tracers will be needed.

Mathematical modeling tools can be used to help estimate the number of contact tracers needed. These models require data to quantify each part of the process. The data used may differ among communities and over the course of the pandemic, which may lead to large differences in estimates from different models &ndash or from the same model if using different values. Each community will need to determine some key parameters to be in the model. Local tuberculosis / sexually transmitted disease contact tracers are likely familiar with community-specific &ldquoinputs&rdquo regarding the average number of contacts per case and how difficult contacts are to find.

CDC does not endorse the use of a specific model however, these tools may be used to guide planning and calculate resources needed under different scenarios. Each community should carefully incorporate as much knowledge about its situation as possible to estimate the number of contact tracers needed.

Content describing non-CDC tools in this document is provided for informational purposes only and is not intended to indicate endorsement, actual or implied, of the tools. Additionally, information on this site is provided &ldquoas is,&rdquo for users to evaluate and make their own determination as to their effectiveness.

This model is built into an Excel workbook and requires input on the following values:

• # new COVID-19 clients / day
• # close contacts / COVID-19 patient
• Proportion of clients who are easy / hard / hardest to reach (and never reached). The amount of time needed to arrange and conduct the initial interview with the index patient can vary.
• Average time needed for patient investigation for each patient category
• Average time spent on contact notification for each contact category
• Average amount of time spent on contacts for each day in each category
• Hours of daily productive work per contact tracer
• Number of workdays per week per contact tracer
• Number of contact tracers per manager

Changing the parameters in the model will change the estimated total staffing needed, even when keeping the number of daily new COVID-19 patients constant. (Note that this model does not specify overall population size. The total amount of work is proportional to the number of COVID-19 clients and contacts identified in each community rather than the total number of people living in the community.)

Estimates of contact tracers needed based on different assumptions in the model
Model developed by Resolve to Save Lives Assumed daily COVID-19 Incidence/ 100,000 persons Contact tracing staff needed / 100,000 persons Notes or assumptions
Contact Tracing Staffing Calculator -Lower estimate (See below) 9* 33 5 contacts per patient contact tracers work 8 hours/day contacts easy-to-reach many contacts use app/email to report daily.
Contact Tracing Staffing Calculator &ndash Higher estimate (See below) 136** 3,739 20 contacts per patient contact tracers work 7-hour days contacts harder to reach, take longer to interview, most require calls each day.

*Between April 15-23, 2020, the daily incidence of COVID-19 in the United States ranged between approximately 8 and 9 per 100,000 (between 25,858 and 29,916 new COVID-19 patients per day assume US population of 328M).

**Approximate peak daily incidence of COVID-19 in New York City (approx. 11,400 incident new patients on 4/15/2020, assume NYC population of 8.4M).