PRIVILEGED & CONFIDENTIAL — ATTORNEY WORK PRODUCT / PREPARED FOR PERM AUDIT FILE
CALDERWOOD & HARKNESS LLP Attorneys at Law
555 California Street, 32nd Floor San Francisco, California 94104 Telephone: (415) 829-7100 Facsimile: (415) 829-7199 www.calderwoodharkness.com
MEMORANDUM
TO: PERM Audit File — Lumos Analytics Inc.
FROM: Derek Okonkwo, Lead Associate, and Tiffany Rosenthal, Associate, Calderwood & Harkness LLP
DATE: December 11, 2023
RE: Consolidated Supervised Recruitment Results Report — PERM Labor Certification Applications for Four Positions at Lumos Analytics Inc.
MATTER NO.: 1008-00004
CLIENT: Lumos Analytics Inc., 2240 Embarcadero Way, Suite 600, Palo Alto, CA 94303 (EIN: 84-3291057)
CONSOLIDATED SUPERVISED RECRUITMENT RESULTS REPORT
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I. Purpose and Scope
This memorandum documents the results of supervised recruitment campaigns conducted pursuant to 20 C.F.R. § 656.17 for four PERM labor certification applications filed on behalf of Lumos Analytics Inc. (hereinafter referred to as the "Employer" or "Lumos"). Calderwood & Harkness LLP, as immigration counsel to the Employer, supervised and directed all aspects of the recruitment campaigns described herein in strict compliance with the regulations promulgated by the U.S. Department of Labor ("DOL") governing the permanent labor certification process.
This report is prepared for inclusion in the Employer's PERM audit file and is suitable for submission to the U.S. Department of Labor, Employment and Training Administration, Office of Foreign Labor Certification ("OFLC"), in the event of an audit of any of the four underlying applications. The report sets forth, in detail, the recruitment steps undertaken, the minimum requirements established for each position, the number and disposition of all applicants received, and the lawful, job-related reasons for the rejection or non-hire of each applicant who responded to the Employer's recruitment efforts.
The four positions that are the subject of this consolidated report, together with the corresponding foreign national beneficiaries on whose behalf the PERM applications are being prepared, are as follows:
1. Vice President, Engineering — Core Platform — Beneficiary: Rajan Mehta
2. Senior Director, Data Science & Machine Learning — Beneficiary: Lina Varga
3. Vice President, Product — Fintech Solutions — Beneficiary: Tomás Aguilar-Reyes
4. Director, Information Security & Compliance — Beneficiary: Yumiko Tanaka
The Employer, Lumos Analytics Inc., is a Delaware C-Corporation headquartered in Palo Alto, California. Lumos is an enterprise software-as-a-service ("SaaS") and financial technology ("fintech") company specializing in artificial intelligence-driven credit risk analytics and automated underwriting solutions for financial institutions. As of the close of fiscal year 2023, the Employer reported annual revenue of approximately $87.4 million. As of June 2023, the Employer maintained a workforce of 312 employees across its domestic operations.
All four positions that are the subject of this report are located at the Employer's corporate headquarters at 2240 Embarcadero Way, Suite 600, Palo Alto, California 94303. The applicable prevailing wage area for each position is the San Jose-Sunnyvale-Santa Clara, CA Metropolitan Statistical Area (Occupational Employment Statistics Area Code 41940), as designated by the DOL for purposes of prevailing wage determination.
This consolidated report encompasses two recruitment campaigns. The first campaign, covering the Mehta and Varga positions, ran from October 9, 2023 through November 20, 2023. The second campaign, covering the Aguilar-Reyes and Tanaka positions, ran from October 23, 2023 through December 4, 2023. The decision to consolidate the recruitment results for all four positions into a single report was made for administrative efficiency and to facilitate comprehensive review by the OFLC in the event that any or all of the underlying applications are selected for audit.
II. Summary of Recruitment Steps Completed
A. Overview of Regulatory Requirements
The regulations governing the PERM labor certification process, codified at 20 C.F.R. § 656.17(e), establish mandatory recruitment steps that an employer must complete before filing a PERM application for a professional occupation. A professional occupation is defined under the regulations as any occupation for which the minimum educational requirement is a bachelor's degree or higher. All four positions at issue in this report are classified as professional occupations, as each requires a minimum of a master's degree or, in the case of the Varga position, a doctoral degree.
Under 20 C.F.R. § 656.17(e)(1), each professional position requires the employer to conduct the following mandatory recruitment steps:
(1) Job Order with State Workforce Agency (SWA): The employer must place a job order with the SWA serving the area of intended employment for a period of 30 days. In California, the SWA is the Employment Development Department ("EDD"), and job orders are placed through the CalJOBS online portal.
(2) Two Sunday Print Advertisements: The employer must place two advertisements on two different Sundays in a newspaper of general circulation in the area of intended employment. The advertisements must include the employer's name, a description of the job opportunity, and instructions for applying.
(3) Internal Posting at the Worksite: The employer must post a notice of the job opportunity at the worksite for a period of 10 consecutive business days, in accordance with 20 C.F.R. § 656.10(d). The notice must contain all the information required by the regulations, including the job title, duties, minimum requirements, and the offered wage or wage range.
In addition to these three mandatory steps, 20 C.F.R. § 656.17(e)(1)(ii) requires the employer to select and complete at least three additional recruitment steps from a regulatory menu of ten permissible alternatives. For each of the four positions covered by this report, the Employer selected and completed the following three additional recruitment steps:
(a) Professional or Trade Journal Advertisement: Placement of an advertisement in a professional or trade journal relevant to the occupation, as permitted under 20 C.F.R. § 656.17(e)(1)(ii)(B).
(b) Campus Placement: Utilization of a campus placement program at an institution of higher education, as permitted under 20 C.F.R. § 656.17(e)(1)(ii)(E).
(c) Employee Referral Program with Incentives: Activation of an internal employee referral program, as permitted under 20 C.F.R. § 656.17(e)(1)(ii)(G).
Furthermore, in accordance with 20 C.F.R. § 656.17(e), the Employer observed a 30-day period following the close of the recruitment campaign ("quiet period") before filing the PERM application, during which all applications and resumes received were evaluated and dispositioned. This quiet period is required by regulation to ensure that the employer has sufficient time to receive and review all responses to the recruitment efforts before certifying on the PERM application that no qualified, willing, and available U.S. workers were identified.
B. Recruitment Steps — Mehta (VP, Engineering) and Varga (Sr. Director, Data Science)
The first recruitment campaign was conducted on behalf of the Mehta position (Vice President, Engineering — Core Platform) and the Varga position (Senior Director, Data Science & Machine Learning). The campaign period ran from October 9, 2023 through November 20, 2023, inclusive of the 30-day quiet period.
Each of the six required recruitment steps was completed as follows:
Step 1: CalJOBS Job Order (State Workforce Agency)
A job order for each position was filed with the California Employment Development Department ("EDD") via the CalJOBS online portal. Each job order was posted for a minimum of 30 business days, commencing on October 9, 2023. The job orders contained complete descriptions of the job duties, minimum requirements, offered wages, and application instructions, as required by the regulations. Confirmation receipts from the CalJOBS system are maintained in the Employer's PERM audit file. See Appendix C.
Step 2: Sunday Newspaper Advertisements
Two consecutive Sunday print advertisements were placed for each position in The Peninsula Gazette (780 Hamilton Avenue, Palo Alto, California 94301), a newspaper of general circulation in the Palo Alto metropolitan area and the broader San Jose-Sunnyvale-Santa Clara MSA. The Peninsula Gazette was selected because it is widely circulated within the area of intended employment and is regularly used by employers in the technology sector for recruitment advertising. The advertising representative assigned to the Employer's account was Noreen Caswell of The Peninsula Gazette's classified advertising department.
The advertisements were published on the following dates:
• First advertisement: Sunday, October 15, 2023
• Second advertisement: Sunday, October 22, 2023
Each advertisement contained the employer's name (Lumos Analytics Inc.), a description of the position and its principal duties, the minimum educational and experience requirements, the worksite location, and instructions for submitting an application. Copies of the published advertisements, including tear sheets and invoices, are maintained in the Employer's PERM audit file. See Appendix A.
Step 3: Internal Posting at the Worksite
Notices of the job opportunity for each position were posted at the Employer's headquarters at 2240 Embarcadero Way, Suite 600, Palo Alto, California 94303, for 10 consecutive business days beginning on October 9, 2023, in accordance with 20 C.F.R. § 656.10(d). The posting notices were displayed in conspicuous locations accessible to all employees, including the main lobby, the employee break room on the sixth floor, and the common area adjacent to the human resources department. Each posting notice contained the job title, duties, minimum requirements, offered wage, and the name and contact information of the employer's designated representative for receiving applications. Photographs of the posted notices and signed attestations from the Employer's Human Resources Director confirming the posting dates and locations are maintained in the PERM audit file. See Appendix D.
Additional Step (a): Professional/Trade Journal Advertisement
An online advertisement for each position was placed in FinTech Talent Weekly, a professional trade publication focused on career opportunities in the financial technology sector. FinTech Talent Weekly is published by Creston Media Group, Inc. (41 East 11th Street, 5th Floor, New York, New York 10003) and is widely read by professionals in the fintech, data science, and enterprise software industries. The publication maintains an established online job board that is recognized within the industry as a leading source for career opportunities in fintech-related disciplines. The advertisements were posted during the recruitment campaign period and remained active for the duration of the campaign. Copies of the online postings and confirmation receipts from Creston Media Group are maintained in the PERM audit file. See Appendix B.
Additional Step (b): Campus Placement
Job postings for each position were submitted to the Baxter University Career Center for distribution through its campus placement program. Baxter University is an accredited institution of higher education with graduate programs in computer science, data science, and business administration that are relevant to the positions being recruited. The Career Center posted the openings on its internal career portal, which is accessible to current students, alumni, and recent graduates of the university's graduate and professional programs. Confirmation of the postings from the Baxter University Career Center is maintained in the PERM audit file. See Appendix E.
Additional Step (c): Employee Referral Program
The Employer activated its internal employee referral program for each position, circulating notice of the openings to all Lumos Analytics employees via the company's internal communications platform. The employee referral program offers a referral bonus to employees who refer candidates who are subsequently hired for the position. The referral program posting included a full description of each position's duties, minimum requirements, and offered compensation, and was distributed to all 312 employees of Lumos Analytics. Documentation of the employee referral program postings, including copies of the internal communications and the program's terms, is maintained in the PERM audit file. See Appendix F.
Recruitment Advertising Coordination
All recruitment advertising for the Mehta and Varga positions was coordinated with Broadgate Compliance Services LLC (Gerald Fitzmorris, Principal; 1414 K Street NW, Suite 730, Washington, DC 20005), a firm specializing in PERM recruitment compliance and advertising coordination. Broadgate Compliance Services ensured that all advertisements met the content requirements of the DOL regulations and that all placements were properly documented and archived.
Quiet Period. The 30-day quiet period for the Mehta and Varga positions concluded on November 20, 2023. During this period, all resumes and applications received in response to the recruitment campaign were reviewed, evaluated, and dispositioned by the Employer in consultation with counsel.
C. Recruitment Steps — Aguilar-Reyes (VP, Product) and Tanaka (Director, InfoSec)
The second recruitment campaign was conducted on behalf of the Aguilar-Reyes position (Vice President, Product — Fintech Solutions) and the Tanaka position (Director, Information Security & Compliance). The campaign period ran from October 23, 2023 through December 4, 2023, inclusive of the 30-day quiet period.
Each of the six required recruitment steps was completed as follows:
Step 1: CalJOBS Job Order (State Workforce Agency)
A job order for each position was filed with the California Employment Development Department via the CalJOBS portal. Each job order was posted for a minimum of 30 business days, commencing on October 23, 2023. The job orders contained complete descriptions of the job duties, minimum requirements, offered wages, and application instructions. Confirmation receipts from the CalJOBS system are maintained in the Employer's PERM audit file. See Appendix C.
Step 2: Sunday Newspaper Advertisements
Two consecutive Sunday print advertisements were placed for each position in The Peninsula Gazette (780 Hamilton Avenue, Palo Alto, California 94301). The advertisements were published on the following dates:
• First advertisement: Sunday, October 29, 2023
• Second advertisement: Sunday, November 5, 2023
Each advertisement contained all information required by the regulations, including the employer's name, a description of the position, minimum requirements, the worksite location, and instructions for submitting an application. Copies of the published advertisements, including tear sheets and invoices, are maintained in the Employer's PERM audit file. See Appendix A.
Step 3: Internal Posting at the Worksite
Notices of the job opportunity for each position were posted at the Employer's headquarters at 2240 Embarcadero Way, Suite 600, Palo Alto, California 94303, for 10 consecutive business days beginning on October 23, 2023, in accordance with 20 C.F.R. § 656.10(d). The posting locations and format were consistent with those used for the Mehta and Varga positions, as described in Section II.B above. Photographs and signed attestations confirming the posting dates and locations are maintained in the PERM audit file. See Appendix D.
Additional Step (a): Professional/Trade Journal Advertisement
An online advertisement for each position was placed in FinTech Talent Weekly, published by Creston Media Group, Inc. The advertisements were posted during the recruitment campaign period and remained active for the duration of the campaign. Copies of the online postings and confirmation receipts are maintained in the PERM audit file. See Appendix B.
Additional Step (b): Campus Placement
Job postings for each position were submitted to the Baxter University Career Center for distribution through its campus placement program, consistent with the procedure described in Section II.B above. Confirmation of the postings is maintained in the PERM audit file. See Appendix E.
Additional Step (c): Employee Referral Program
The Employer activated its internal employee referral program for each position, circulating notice of the openings to all Lumos Analytics employees via the company's internal communications platform. Documentation of the employee referral program postings is maintained in the PERM audit file. See Appendix F.
Recruitment Advertising Coordination
All recruitment advertising for the Aguilar-Reyes and Tanaka positions was coordinated with Broadgate Compliance Services LLC (Gerald Fitzmorris, Principal; 1414 K Street NW, Suite 730, Washington, DC 20005), consistent with the coordination provided for the first campaign.
Quiet Period. The 30-day quiet period for the Aguilar-Reyes and Tanaka positions concluded on December 4, 2023. During this period, all resumes and applications received in response to the recruitment campaign were reviewed, evaluated, and dispositioned by the Employer in consultation with counsel.
III. Position-Specific Minimum Requirements
This section sets forth the minimum requirements established by the Employer for each of the four positions, including the applicable Standard Occupational Classification ("SOC") code, prevailing wage determination, offered salary, minimum education and experience requirements, and any special skills or requirements. The minimum requirements for each position were established by the Employer based on the actual minimum requirements necessary to perform the duties of each position. These requirements were reviewed by counsel to ensure compliance with 20 C.F.R. § 656.17(h) and (i), including the prohibition against requirements that are unduly restrictive or that are not the actual minimum requirements for the position.
A. Vice President, Engineering — Core Platform (Mehta Position)
Standard Occupational Classification (SOC) Code: 15-1252 (Software Developers)
Prevailing Wage Determination: The DOL National Prevailing Wage Center issued a prevailing wage determination for this position at Level IV of the applicable wage scale, establishing a prevailing wage of $198,744 per year. The prevailing wage determination was received on September 8, 2023, and remains valid for the purpose of the PERM application.
Offered Salary: The Employer's offered salary for this position is $285,000 per year, which exceeds the prevailing wage determination by $86,256, or approximately 43.4%.
Minimum Education: Master's degree in Computer Science or a closely related field.
Minimum Experience: Five (5) years of progressive post-baccalaureate experience in software engineering, including a minimum of two (2) years of experience specifically in distributed systems architecture.
Special Requirements: Demonstrated experience with Apache Kafka, Kubernetes, and the design and implementation of microservices architecture at scale, defined as systems processing 100 million or more daily transactions.
The above requirements reflect the actual minimum qualifications necessary to perform the duties of the Vice President, Engineering — Core Platform position. The position is responsible for leading the Employer's core platform engineering organization, overseeing the architecture and development of the distributed systems infrastructure that supports the Employer's AI-driven credit risk analytics platform. The requirement for experience with Apache Kafka, Kubernetes, and microservices at scale is directly related to the Employer's production environment, which processes in excess of 100 million daily transactions for its financial institution clients.
B. Senior Director, Data Science & Machine Learning (Varga Position)
Standard Occupational Classification (SOC) Code: 15-2051 (Data Scientists)
Prevailing Wage Determination: The DOL National Prevailing Wage Center issued a prevailing wage determination for this position at Level IV of the applicable wage scale, establishing a prevailing wage of $191,360 per year. The prevailing wage determination was received on September 11, 2023, and remains valid for the purpose of the PERM application.
Offered Salary: The Employer's offered salary for this position is $310,000 per year, which exceeds the prevailing wage determination by $118,640, or approximately 62.0%.
Minimum Education: Ph.D. (Doctorate) in Statistics, Computer Science, or a closely related quantitative field.
Minimum Experience: Three (3) years of post-doctoral experience in applied machine learning, including a minimum of two (2) years of experience specifically in financial services credit modeling.
Special Requirements: A record of publication in peer-reviewed academic journals on statistical learning methods; proficiency in Python, R, and TensorFlow.
The above requirements reflect the actual minimum qualifications necessary to perform the duties of the Senior Director, Data Science & Machine Learning position. The position is responsible for leading the Employer's data science and machine learning organization, directing the development and deployment of the proprietary credit risk models that form the core of the Employer's SaaS product offerings. The requirement for a Ph.D. is warranted by the nature of the work, which involves original research and development of novel statistical learning methods for application in consumer and commercial credit risk assessment. The requirement for experience in financial services credit modeling is directly related to the regulatory and technical complexities inherent in developing models that comply with fair lending laws and financial services industry standards.
C. Vice President, Product — Fintech Solutions (Aguilar-Reyes Position)
Standard Occupational Classification (SOC) Code: 11-2021 (Marketing Managers)
Prevailing Wage Determination: The DOL National Prevailing Wage Center issued a prevailing wage determination for this position at Level III of the applicable wage scale, establishing a prevailing wage of $176,842 per year. The prevailing wage determination was received on October 2, 2023, and remains valid for the purpose of the PERM application.
Offered Salary: The Employer's offered salary for this position is $275,000 per year, which exceeds the prevailing wage determination by $98,158, or approximately 55.5%.
Minimum Education: Master's degree in Business Administration, Finance, or a closely related field.
Minimum Experience: Five (5) years of progressive experience in fintech product management, including a minimum of three (3) years of experience managing cross-functional teams of 15 or more members.
Special Requirements: Demonstrated experience with regulatory frameworks, specifically the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") and Consumer Financial Protection Bureau ("CFPB") guidelines, as applied to automated lending products.
The above requirements reflect the actual minimum qualifications necessary to perform the duties of the Vice President, Product — Fintech Solutions position. The position is responsible for leading the Employer's fintech product organization, driving the strategy, development, and go-to-market execution for the Employer's suite of automated underwriting and lending solutions sold to banks, credit unions, and non-bank lenders. The requirement for experience with Dodd-Frank and CFPB regulatory frameworks is essential given that the Employer's products are deployed in highly regulated financial services environments, and the VP of Product must ensure that all product design and development decisions account for applicable regulatory requirements.
D. Director, Information Security & Compliance (Tanaka Position)
Standard Occupational Classification (SOC) Code: 15-1212 (Information Security Analysts)
Prevailing Wage Determination: The DOL National Prevailing Wage Center issued a prevailing wage determination for this position at Level IV of the applicable wage scale, establishing a prevailing wage of $185,910 per year. The prevailing wage determination was received on October 2, 2023, and remains valid for the purpose of the PERM application.
Offered Salary: The Employer's offered salary for this position is $260,000 per year, which exceeds the prevailing wage determination by $74,090, or approximately 39.9%.
Minimum Education: Master's degree in Cybersecurity, Information Systems, or a closely related field.
Minimum Experience: Four (4) years of progressive experience in information security, including a minimum of two (2) years of experience specifically in SOC 2 Type II and ISO 27001 compliance implementation.
Special Requirements: Current CISSP (Certified Information Systems Security Professional) certification, issued by (ISC)²; demonstrated experience securing cloud-native SaaS platforms deployed on Ridgeway Industries ("Meridian Technologies") and/or Aldermere Technologies ("GCP").
The above requirements reflect the actual minimum qualifications necessary to perform the duties of the Director, Information Security & Compliance position. The position is responsible for leading the Employer's information security and compliance function, overseeing the protection of the Employer's cloud-native SaaS platform and ensuring ongoing compliance with the rigorous security and privacy standards demanded by the Employer's financial institution clients. The requirement for SOC 2 Type II and ISO 27001 compliance implementation experience is directly related to the Employer's contractual obligations to its clients, many of whom require these certifications as a condition of engagement. The CISSP certification requirement reflects industry best practices for leadership-level information security roles and is consistent with the certifications held by similarly situated professionals in the fintech industry.
IV. Detailed Recruitment Results — Position by Position
This section sets forth the detailed results of the recruitment campaigns for each of the four positions, including the total number of resumes and applications received, the disposition of each applicant, and the lawful, job-related reasons for the rejection or non-hire of each applicant. All applicants were evaluated solely against the minimum requirements established for each position, as set forth in Section III above. No applicant was rejected for any reason unrelated to the posted minimum requirements.
A. Vice President, Engineering — Core Platform (PERM Case No. A-23401-83756 — Rajan Mehta)
1. Summary Statistics
• Total resumes/applications received: 14
• Applicants meeting all minimum requirements: 0
• Qualified, willing, and available U.S. workers identified: 0
2. Applicant-by-Applicant Disposition
The following is a detailed account of the disposition of each of the 14 applicants who responded to the Employer's recruitment efforts for the Vice President, Engineering — Core Platform position:
Applicants 1 through 6 (six applicants): These six applicants did not meet the minimum education requirement for the position. The resumes of all six applicants were carefully reviewed by the Employer in consultation with counsel. Each of the six applicants held a Bachelor's degree only and did not possess a Master's degree in Computer Science or a closely related field, as required by the minimum qualifications for the position. None of the six applicants presented any combination of education and experience that could be considered the equivalent of the required Master's degree under the Employer's stated minimum requirements.
Lawful job-related reason for rejection: Failure to meet the minimum educational qualification — the position requires a Master's degree in Computer Science or a closely related field, and none of these six applicants held such a degree.
Applicants 7 through 11 (five applicants): These five applicants met the minimum education requirement, as each held a Master's degree in Computer Science or a closely related field. However, upon detailed review of their resumes and, where applicable, their responses during preliminary interview discussions, none of these five applicants possessed the required minimum of two (2) years of experience in distributed systems architecture. While each of these applicants had varying levels of general software engineering experience, their backgrounds did not include the specific distributed systems architecture experience required for the position. In several instances, counsel reviewed the applicants' resumes with the Employer's hiring manager to confirm that the applicants' prior work experience, as described on their resumes, did not constitute experience in distributed systems architecture as defined by the position requirements.
Lawful job-related reason for rejection: Failure to meet the minimum experience requirement — specifically, the requirement for a minimum of two (2) years of experience in distributed systems architecture.
Applicants 12 and 13 (two applicants): These two applicants met the minimum education requirement (each held a Master's degree in Computer Science) and appeared, based on a review of their resumes, to meet the minimum experience requirements, including the two-year distributed systems architecture requirement. Both applicants were contacted by the Employer to discuss the position and were provided with detailed information regarding the job duties, worksite location, and compensation package. Upon being informed of the position details, including the offered annual salary of $285,000 — which exceeds the prevailing wage by $86,256, or 43.4% — both applicants independently declined to proceed further in the hiring process. Although the offered salary substantially exceeds the prevailing wage, both candidates indicated that they were seeking higher total compensation packages than what was being offered and elected not to continue with their applications.
Lawful job-related reason for non-hire: Applicant declined to continue with the application and was not willing to accept the position at the offered terms. The Employer did not reject these applicants; rather, the applicants voluntarily withdrew from consideration.
Applicant 14 (one applicant): This applicant submitted a resume that appeared, on its face, to meet the minimum education requirements for the position. The Employer and counsel made multiple attempts to contact this applicant to schedule an interview and to discuss the position in greater detail. Specifically, two emails were sent to the email address provided on the applicant's resume, and one telephone voicemail message was left at the telephone number listed on the resume. These contact attempts were made over a two-week period. Despite these efforts, the applicant failed to respond to any of the interview scheduling communications and did not make himself or herself available for further evaluation.
Lawful job-related reason for non-hire: Applicant was non-responsive to multiple attempts at contact and was therefore unavailable for the position. The Employer made reasonable and good-faith efforts to contact this applicant, but the applicant did not respond.
3. Conclusion — Mehta Position
Good-faith recruitment was conducted for the Vice President, Engineering — Core Platform position using all mandatory recruitment steps and three additional recruitment steps, as required by 20 C.F.R. § 656.17(e). All 14 applicants who responded to the Employer's recruitment efforts were evaluated against the minimum requirements established for the position. No qualified, willing, and available U.S. worker was identified for this position. The recruitment results support the Employer's attestation on the PERM application that a test of the labor market was conducted and that no qualified, willing, and available U.S. worker was found.
B. Senior Director, Data Science & Machine Learning (PERM Case No. A-23401-83761 — Lina Varga)
1. Summary Statistics
• Total resumes/applications received: 8
• Applicants meeting all minimum requirements: 0
• Qualified, willing, and available U.S. workers identified: 0
2. Applicant-by-Applicant Disposition
The following is a detailed account of the disposition of each of the 8 applicants who responded to the Employer's recruitment efforts for the Senior Director, Data Science & Machine Learning position:
Applicants 1 through 4 (four applicants): These four applicants did not hold a Ph.D. in Statistics, Computer Science, or a closely related quantitative field, as required by the minimum qualifications for the position. The resumes of all four applicants were carefully reviewed by the Employer in consultation with counsel. The highest degree held by each of these four applicants was a Master's degree. While several of these applicants had notable experience in data science and machine learning, they did not meet the fundamental educational prerequisite for the position, which requires a doctoral-level degree in a qualifying quantitative discipline.
Lawful job-related reason for rejection: Failure to meet the minimum educational qualification — the position requires a Ph.D. in Statistics, Computer Science, or a closely related quantitative field, and none of these four applicants held such a degree.
Applicants 5 through 7 (three applicants): These three applicants held a Ph.D. in a qualifying field (Statistics, Computer Science, or a closely related quantitative discipline) and thus met the minimum education requirement. However, upon detailed review of their resumes and supplemental application materials, none of these three applicants possessed the required minimum of two (2) years of experience in financial services credit modeling. While each of these applicants had demonstrated expertise in general machine learning applications — including, in some cases, experience in domains such as healthcare analytics, natural language processing, and computer vision — none had the requisite background in building or deploying credit models within the financial services industry. The Employer's review specifically assessed whether any of the applicants' prior work could be characterized as financial services credit modeling experience, and in each case, the conclusion was that it could not.
Lawful job-related reason for rejection: Failure to meet the minimum experience requirement — specifically, the requirement for a minimum of two (2) years of experience in financial services credit modeling.
Applicant 8 (one applicant): This applicant initially submitted a resume that appeared potentially to meet the minimum qualifications for the position. However, before the Employer could complete its evaluation of this applicant's qualifications or schedule a formal interview, the applicant contacted the Employer and voluntarily withdrew from consideration, stating that the applicant had accepted a position with another employer. The withdrawal was documented via email correspondence, which is maintained in the PERM audit file.
Lawful job-related reason for non-hire: Applicant voluntarily withdrew from consideration after accepting another position. The Employer did not reject this applicant; the applicant's decision to withdraw was entirely voluntary.
3. Conclusion — Varga Position
Good-faith recruitment was conducted for the Senior Director, Data Science & Machine Learning position using all mandatory recruitment steps and three additional recruitment steps, as required by 20 C.F.R. § 656.17(e). All 8 applicants who responded to the Employer's recruitment efforts were evaluated against the minimum requirements established for the position. No qualified, willing, and available U.S. worker was identified for this position. The recruitment results support the Employer's attestation on the PERM application that a test of the labor market was conducted and that no qualified, willing, and available U.S. worker was found.
C. Vice President, Product — Fintech Solutions (PERM Case No. A-24401-00214 — Tomás Aguilar-Reyes)
1. Summary Statistics
• Total resumes/applications received: 11
• Applicants meeting all minimum requirements: 0
• Qualified, willing, and available U.S. workers identified: 0
2. Applicant-by-Applicant Disposition
The following is a detailed account of the disposition of each of the 11 applicants who responded to the Employer's recruitment efforts for the Vice President, Product — Fintech Solutions position:
Applicants 1 through 7 (seven applicants): These seven applicants did not meet the minimum experience requirement of five (5) years of progressive experience in fintech product management, including a minimum of three (3) years of experience managing cross-functional teams of 15 or more members. The resumes of all seven applicants were carefully reviewed by the Employer in consultation with counsel. In each case, the applicant either (a) had fewer than five years of relevant fintech product management experience, (b) had product management experience that was not specific to the fintech industry, (c) lacked the required three years of experience managing cross-functional teams of the requisite size (15 or more members), or (d) a combination of the foregoing deficiencies. In several instances, applicants had general product management experience in adjacent technology sectors but had not worked specifically in the fintech domain for the required duration.
Lawful job-related reason for rejection: Failure to meet the minimum experience requirements — specifically, the requirement for five (5) years of progressive experience in fintech product management and/or the requirement for three (3) years of experience managing cross-functional teams of 15 or more members.
Applicants 8 through 10 (three applicants): These three applicants met the general education requirement (each held a Master's degree in Business Administration, Finance, or a closely related field) and appeared to meet the general years-of-experience thresholds for the position. However, upon further review of their resumes and, in some cases, preliminary interview discussions, none of these three applicants possessed the required experience with regulatory frameworks — specifically, the Dodd-Frank Wall Street Reform and Consumer Protection Act and Consumer Financial Protection Bureau guidelines — as applied to automated lending products. While each of these applicants had fintech product management experience, their backgrounds did not include substantive experience navigating the regulatory compliance landscape specific to automated lending. The Employer's hiring manager confirmed, through discussions with counsel, that the applicants' experience did not extend to the regulatory framework competencies essential for this role.
Lawful job-related reason for rejection: Failure to meet the special skill and knowledge requirement — specifically, the requirement for experience with regulatory frameworks (Dodd-Frank and CFPB guidelines) as applied to automated lending products.
Applicant 11 (one applicant): This applicant was contacted by the Employer for an interview and initially expressed interest in the position. However, prior to the scheduled interview date, the applicant informed the Employer via email that the applicant had accepted an offer of employment with another company and would not be proceeding with the application for this position. The correspondence documenting the applicant's withdrawal is maintained in the PERM audit file.
Lawful job-related reason for non-hire: Applicant accepted another position and voluntarily withdrew from consideration. The Employer did not reject this applicant; the applicant's decision to withdraw was entirely voluntary.
3. Conclusion — Aguilar-Reyes Position
Good-faith recruitment was conducted for the Vice President, Product — Fintech Solutions position using all mandatory recruitment steps and three additional recruitment steps, as required by 20 C.F.R. § 656.17(e). All 11 applicants who responded to the Employer's recruitment efforts were evaluated against the minimum requirements established for the position. No qualified, willing, and available U.S. worker was identified for this position. The recruitment results support the Employer's attestation on the PERM application that a test of the labor market was conducted and that no qualified, willing, and available U.S. worker was found.
D. Director, Information Security & Compliance (PERM Case No. A-24401-00219 — Yumiko Tanaka)
1. Summary Statistics
• Total resumes/applications received: 9
• Applicants meeting all minimum requirements: 0
• Qualified, willing, and available U.S. workers identified: 0
2. Applicant-by-Applicant Disposition
The following is a detailed account of the disposition of each of the 9 applicants who responded to the Employer's recruitment efforts for the Director, Information Security & Compliance position:
Applicants 1 through 5 (five applicants): These five applicants did not hold a Master's degree in Cybersecurity, Information Systems, or a closely related field, as required by the minimum qualifications for the position. The resumes of all five applicants were carefully reviewed by the Employer in consultation with counsel. The highest degree held by each of these five applicants was a Bachelor's degree. While several of these applicants had significant professional experience in information security, they did not possess the graduate-level education required for the position. None of the five applicants presented any alternative credentials or combination of education and experience that could be considered equivalent to the required Master's degree under the Employer's stated minimum requirements.
Lawful job-related reason for rejection: Failure to meet the minimum educational qualification — the position requires a Master's degree in Cybersecurity, Information Systems, or a closely related field, and none of these five applicants held such a degree.
Applicants 6 and 7 (two applicants): These two applicants held a qualifying Master's degree in a relevant field (Cybersecurity or Information Systems) and thus met the minimum education requirement. However, neither applicant possessed a current Certified Information Systems Security Professional ("CISSP") certification, as issued by (ISC)², which is a stated requirement for the position. Review of the applicants' resumes and any certifications listed therein confirmed the absence of the CISSP credential. While one of the two applicants held other industry certifications (CompTIA Security+ and CISM), neither held the specific CISSP certification required for this position.
Lawful job-related reason for rejection: Failure to meet the special requirement — the position requires a current CISSP certification, and neither of these two applicants held such a certification.
Applicants 8 and 9 (two applicants): These two applicants held a qualifying Master's degree and a current CISSP certification, thereby meeting both the minimum education requirement and the CISSP certification requirement. However, upon detailed review of their resumes, neither applicant possessed the required minimum of two (2) years of experience in SOC 2 Type II and ISO 27001 compliance implementation. While both applicants had general information security experience, including experience with vulnerability assessments, penetration testing, and incident response, their resumes confirmed that neither had the specific compliance framework implementation experience — that is, hands-on experience leading or implementing SOC 2 Type II audit readiness programs and ISO 27001 information security management system implementations — that is required for this position. The Employer's hiring manager reviewed the resumes in detail and confirmed that the applicants' experience did not encompass the specific compliance implementation work required.
Lawful job-related reason for rejection: Failure to meet the minimum experience requirement — specifically, the requirement for a minimum of two (2) years of experience in SOC 2 Type II and ISO 27001 compliance implementation.
3. Conclusion — Tanaka Position
Good-faith recruitment was conducted for the Director, Information Security & Compliance position using all mandatory recruitment steps and three additional recruitment steps, as required by 20 C.F.R. § 656.17(e). All 9 applicants who responded to the Employer's recruitment efforts were evaluated against the minimum requirements established for the position. No qualified, willing, and available U.S. worker was identified for this position. The recruitment results support the Employer's attestation on the PERM application that a test of the labor market was conducted and that no qualified, willing, and available U.S. worker was found.
V. Consolidated Summary Table
The following table summarizes the recruitment results for all four positions:
Across all four positions, the Employer received a combined total of 42 resumes and applications in response to the supervised recruitment campaigns. Of these 42 applicants, zero (0) were found to be qualified, willing, and available U.S. workers for any of the four positions. Each applicant was evaluated individually against the minimum requirements established for the specific position to which the applicant applied. In every case, the applicant either (a) failed to meet one or more of the minimum educational, experience, or special skill requirements for the position, (b) voluntarily withdrew from consideration, or (c) was non-responsive to the Employer's reasonable attempts at contact. No applicant was rejected for any reason unrelated to the stated minimum requirements or for any unlawful or discriminatory reason.
VI. Certification and Conclusion
Based on the foregoing, Calderwood & Harkness LLP, as immigration counsel to Lumos Analytics Inc., hereby certifies and concludes as follows:
Good-Faith Recruitment. All recruitment for each of the four positions identified in this report was conducted in good faith and in strict compliance with the requirements of 20 C.F.R. § 656.17, including the mandatory recruitment steps set forth at 20 C.F.R. § 656.17(e)(1)(i) and the additional recruitment steps required under 20 C.F.R. § 656.17(e)(1)(ii). The Employer undertook each recruitment step with the genuine intent of identifying qualified, willing, and available U.S. workers and did not conduct the recruitment as a mere formality or with the predetermined intent of rejecting all applicants.
Evaluation Based on Lawful, Job-Related Criteria. All applicants who responded to the Employer's recruitment efforts were evaluated solely against the stated minimum requirements for each position, using lawful, job-related criteria. The minimum requirements applied to the evaluation of applicants were the same requirements listed on the PERM application (ETA Form 9089) and in the recruitment advertisements. The Employer did not apply any requirements or criteria that were not disclosed in the recruitment materials, and no applicant was held to a higher standard than the posted minimum requirements.
No Rejection for Unlawful or Unrelated Reasons. The Employer did not reject any applicant for reasons unrelated to the posted minimum requirements for the position. No applicant was rejected based on race, color, national origin, age, sex, religion, disability, citizenship status, or any other characteristic protected by federal, state, or local law. Each rejection was based solely on the applicant's failure to meet one or more of the minimum qualifications for the position, as documented in Section IV of this report.
No Qualified U.S. Workers Identified. No qualified, willing, and available U.S. worker was identified for any of the four positions during the supervised recruitment period. Across all four positions, a total of 42 resumes and applications were received and evaluated, and in no case did any applicant meet all of the minimum requirements for the position and express willingness and availability to accept the position.
Supervision and Coordination. All recruitment campaigns were supervised by Calderwood & Harkness LLP and coordinated with Broadgate Compliance Services LLC (Gerald Fitzmorris, Principal; 1414 K Street NW, Suite 730, Washington, DC 20005). Broadgate Compliance Services provided advertising coordination and compliance review services to ensure that all recruitment materials met the content and formatting requirements of the DOL regulations.
Document Retention. All underlying documentation supporting the recruitment results set forth in this report, including but not limited to resumes received from all applicants, correspondence with applicants (including interview scheduling emails, telephone logs, and withdrawal communications), newspaper advertisement tear sheets and invoices, online advertisement confirmation receipts, CalJOBS job order confirmations, internal posting notices and photographic evidence of posting, campus placement confirmation records, employee referral program communications, interview notes, and prevailing wage determinations, is maintained in the Employer's PERM audit file at Lumos Analytics Inc., 2240 Embarcadero Way, Suite 600, Palo Alto, California 94303. All documentation will be retained for a minimum of five (5) years from the date of filing of each PERM application, in compliance with the document retention requirements set forth at 20 C.F.R. § 656.10(f).
Anticipated Filing Dates. Based on the recruitment results documented herein, the Employer intends to file the PERM labor certification applications as follows:
• Mehta (VP, Engineering) and Varga (Sr. Director, Data Science): Applications to be filed on or about December 18, 2023.
• Aguilar-Reyes (VP, Product) and Tanaka (Director, InfoSec): Applications to be filed on or about January 8, 2024.
These filing dates fall within the permitted window following the conclusion of the respective 30-day quiet periods, and counsel will ensure that all PERM applications are filed within the timeframes prescribed by the regulations.
This consolidated supervised recruitment results report is respectfully submitted for inclusion in the Employer's PERM audit file and for submission to the U.S. Department of Labor, Office of Foreign Labor Certification, in the event of an audit of any of the four underlying PERM applications.
VII. Signature block
CALDERWOOD & HARKNESS LLP
By: ________
Name: Derek Okonkwo
Title: Lead Associate
Date: December 11, 2023
By: ________
Name: Tiffany Rosenthal