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FY 2007 alien labor certification grant planning
Summary ETA told state workforce agencies how to plan and manage fiscal 2007 alien labor certification grants. It described their program roles, allocation planning, and steps to request and use the funds, with state figures in an attachment. ETA now labels this fiscal-year advisory Canceled.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
TEGL No. 18-06
Date issued
March 13, 2007
Status
Withdrawn
ETA lists this fiscal-year advisory Canceled as of 2026-10-24; its letter prints Rescissions: None and Expiration Date: Continuing.
Status last verified October 24, 2026
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Accessible letter PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2007/TEGL18-06_Acc.pdf
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION
Alien Labor Certification
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OFLC
WASHINGTON, D.C. 20210
DATE
March 13, 2007
ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 18-06
TO: STATE WORKFORCE AGENCIES
FROM: EMILY STOVER DeROCCO /s/
Assistant Secretary
SUBJECT: Fiscal Year (FY) 2007 Alien Labor Certification
Program Planning Guidance
1. Purpose. To provide guidance for the funding and management of FY 2007 annual plans
and grant allocations for the Alien Labor Certification (ALC) programs.
2. References.
• Immigration and Nationality Act (INA), Sections 101(a), 212(n), 212(t),
214(c), 214(i), and 218
• 8 CFR Part 214
• Wagner-Peyser Act, Section 7(d)
• Employment and Training Administration (ETA) Handbook No. 385
• Guide for Employment Service Reimbursable Grant Activities
• ETA No. 398, H-2A Program Handbook, January 1988
• Prevailing Wage Determination Policy Guidance for Nonagricultural Immigration
Programs, May 2005
• Training and Employment Guidance Letter No. 04-06
Subject: Plans to Phase out Penalty Mail Costs for “Employment Security” Programs and
Availability of Supplemental Budget Funds for Conversion to Commercial Mail Methods
• Other ETA instructions as noted
3. Background. The purposes of this memorandum are: (1) to define the roles State Workforce
Agencies (SWAs) play in the ALC programs; (2) to provide planning figures for funding that
will be allocated to support these activities; and, (3) to outline both the necessary actions to
request the funds and the required steps to comply with the grant.
RESCISSIONS EXPIRATION DATE
None Continuing
2
4. Actions. SWAs are required to complete the actions listed below.
• Respond to these guidelines within thirty (30) days of receipt to ensure allocation of
remaining grant funds.
• Establish program priorities by identifying how program funds would best be utilized and
by splitting the grant allocation between agricultural and nonagricultural activities.
• Inform the National Office via written communication of the proposed program priorities
and the split that will be used to allocate funds between agricultural and nonagricultural
activities.
5. Mailing Address. Mail completed annual plans to:
Office of Foreign Labor Certification
Attention: Gayle Dixon
U.S. Department of Labor
200 Constitution Avenue NW - Rm. C-4312
Washington, D.C. 20210.
6. Inquiries. Grant funding questions should be directed to Gayle Dixon at (202) 693-2817.
All program-related questions should be directed to Isabel Jean-Pierre at (202) 693-2731.
7. Attachments.
Attachment
Attachment Name
Number
Grant Guidance and Information Package 1
FY 200 ALC Funding Levels 2
ALC Program Planning Guidance 3
Major SWA Responsibilities for the ALC Agricultural Program 3
Major SWA Responsibilities for the ALC Non-Agricultural Programs 3
Guidance for Prevailing Wage Determinations 3
Annual Plan Procedures 4
Official attachment PDF (TEGL18-06_Att1.pdf): https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2007/TEGL18-06_Att1.pdf
Attachment No.: 1
Program Planning Guidance and Information Package
Introduction
This document provides the necessary guidelines to be used by State Workforce Agencies (SWAs) to
prepare annual plans and request funds in order to administer their Alien Labor Certification (ALC)
responsibilities.
Wagner-Peyser funding allocations for SWA National Activities in Fiscal Year (FY) 2007 are to support
prevailing wage activities and for the temporary agricultural and non-agricultural ALC programs. The
estimated appropriated funds for state ALC activities are approximately $13,000,000. Of this amount,
approximately three percent will be assessed for postage and $4,920,462 has been provided
during the Continuing Resolution period since October 1, 2006. Distribution of remaining grant funds and
the final funding levels are pending Congressional action. An estimate of each SWA’s total FY 2007
funding is provided in Attachment 2.
FY 2007 Annual Plan
The procedures for submission of the twelve (12) month plan (October 1, 2006, through September 30,
2007) are provided in Attachment 4. Upon receipt and approval of the plan at the national office (Office of
Foreign Labor Certification), the National Office Grant Officer (Division of Federal Assistance) will issue
an additional Notice of Obligation to provide the balance of funds due to each state from its annual
allocation.
In FY 2007, SWAs are responsible for the following labor certification activities:
• Providing prevailing wage determinations for all non-agricultural labor certification programs in
accordance with the Prevailing Wage Determination Policy Guidance for Nonagricultural
Immigration Programs;
• Processing H-2B temporary non-agricultural labor certification applications in accordance with
existing policy and time frames; and
• Receiving new applications for H-2A temporary agricultural labor certification, performing
prevailing wage and prevailing practice surveys, ensuring housing inspections are conducted,
and processing job orders.
• Complying with all applicable laws, including those governing freedom of information and privacy.
SWAs are to issue prevailing wage determinations to employers to accompany their applications for
permanent labor certification. These wage determinations are to be provided in a responsive and timely
manner. Guidance on providing prevailing wage determinations is given in Attachment 3 number 4. All
other functions of permanent labor certification are performed by the National Processing Centers in
Atlanta and Chicago.
National Office Responsibilities
The national office responsibilities include the review and approval of the grant plan applications, analysis
of expenditure and performance data, execution of programmatic plan modifications, and on-site reviews.
States are advised to administer the plan in accordance with the approved plan and the terms and
conditions of the Wagner-Peyser Annual Funding Agreement. The National Office Grant Officer funding
authority remains with the national office, Division of Federal Assistance.
Labor certification funds are provided for labor certification activities only and cannot be used for other
Wagner-Peyser activities, such as the routine referral of workers on job bank orders, Migrant Seasonal
Farmworker (MSFW) activities, and processing of complaints under the SWA complaint system.
SWA Responsibilities
SWAs are responsible for administering grant funds for ALC programs within established guidelines.
These responsibilities include:
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 1 of 20
1. Certifications and Assurances
Regulations require recipients of SWA grants to submit various standard certifications and
assurances. These have already been provided under the PY 2006/FY 2007 Wagner-Peyser Annual
Funding Agreement. Current SWA regulations at 20 CFR Part 658, Subpart E (20 CFR 658.400-
658.426) cover the complaint and appeals procedures. Regulations at 20 CFR Part 653, Subpart F
and 20 CFR Part 654, Subpart E apply to housing inspection activities under the reimbursable grant.
Other applicable regulatory provisions and special assurances are incorporated in the Statements of
Work (attached).
2. Utilize Mandated Forms for Inter-Agency Communications
SWAs must utilize the proper formats to ensure uniform communications. These formats include, but
may not be limited to, the following:
• Form ETA-7147
Form ETA-7147 is the Alien Certification State Agency Transmittal of Application for an alien
employment certification.
• Form ETA-232
Form ETA-232 is the Domestic Agricultural In-Season Wage Report.
● Form ETA-232A
Form ETA-232A is the Wage Survey Interview Record.
• Other ETA forms that contain a valid Office of Management and Budget (OMB) control number
and expiration date.
3. Reporting Responsibilities
The required reports are listed below:
• SF-269
The SF-269 is the Financial Status Report and must be submitted by the SWA on a quarterly
basis for each fiscal year of funds.
• SF-9127
The SF-9127 is the Quarterly Activity Report and must be submitted by the SWA on a quarterly
basis for each fiscal year.
4. Fiscal Management Responsibilities
The national office will retain flexibility to recommend the modification of the negotiated split of ALC
funds between agricultural and non-agricultural ALC activities for a given state. Modifications should
be communicated to the Federal Project Officer for approval.
National office approval must be obtained for all equipment purchases made using ALC funds that
are above five thousand dollars ($5,000) in value. If such requests are included in the annual plan
and are clearly detailed in a cover memorandum, the national office can pre-approve the purchases.
Otherwise, states must provide a written justification and cost estimate for the purchase(s). The
national office will generally not approve capital purchases such as buildings and vehicles.
Although Employment Service (ES) grants are valid for three (3) years, ALC grants are intended to be
used during the fiscal year that they are issued. Any carry over funds in excess of twenty (20)
percent of the total grant value are subject to recuperation by the national office. See the
Employment and Training Order “Closeout Procedures for ETA Expired Grants, Agreements, and
National Office Contracts” for information regarding the procedures for closing grants.
5. Training
SWAs are required to send appropriate staff to program training, when such training is offered. The
costs of SWA travel to regional and national meetings and training sessions are included in grant
funds. Attendance at these sessions is a condition of the grant. If SWAs do not attend mandatory
meetings, funds may be recaptured.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 2 of 20
Conclusion
Grant funding balances will be issued to SWAs upon availability of funds. The National Office Grant
Officer will issue a Notice of Obligation (NOO) to SWAs upon approval of the SWA Alien Labor
Certification Annual Plan. Budgets can only be approved for annual plans after the national office (Office
of Foreign Labor Certification) has approved the Annual Plan Narrative for the Agricultural/Non-
Agricultural programs.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 3 of 20
Attachment No.: 2
Estimated FY 2007 ALC Funding Levels*
Atlanta National Processing Center Chicago National Processing Center
U.S. Department of Labor U.S. Department of Labor
Employment and Training Administration Employment and Training Administration
Harris Tower 844 North Rush Street, 12th Floor
233 Peachtree Street, Suite 410 Chicago, Illinois 60611
Atlanta, Georgia 30303 Phone: (312) 886-8000
Phone: (404) 893-0101 Fax: (312) 886-1688
Fax: (404) 893-4642
Alabama $ 61,736 Alaska $ 56,444
Connecticut $ 205,913 Arizona $ 211,445
Delaware $ 78,340 Arkansas $ 65,263
Florida $ 464,953 California $ 1,927,833
Georgia $ 432,559 Colorado $ 183,798
Kentucky $ 259,925 Guam $ 52,916
Maine $ 231,125 Hawaii $ 52,916
Maryland $ 403,462 Idaho $ 168,081
Massachusetts $ 611,866 Illinois $ 335,766
Mississippi $ 74,083 Indiana $ 56,444
New Hampshire $ 69,141 Iowa $ 63,500
New Jersey $ 478,463 Kansas $ 94,983
New York $ 1,089,162 Louisiana $ 129,045
North Carolina $ 160,815 Michigan $ 234,481
Pennsylvania $ 445,296 Minnesota $ 79,958
Puerto Rico $ 52,916 Missouri $ 98,682
Rhode Island $ 56,444 Montana $ 59,972
South Carolina $ 71,086 Nebraska $ 83,193
Tennessee $ 132,405 Nevada $ 63,789
Vermont $ 80,685 New Mexico $ 65,263
Virgin Islands $ 52,916 North Dakota $ 72,220
Virginia $ 672,577 Ohio $ 161,984
Washington DC $ 93,155 Oklahoma $ 61,736
West Virginia $ 58,208 Oregon $ 68,637
South Dakota $ 63,500
Texas $ 747,396
Utah $ 78,391
Washington $ 165,651
Wisconsin $ 101,274
Wyoming $ 58,208
* Amount includes funds distributed during the Continuing Resolution period. Final funding levels are
pending Congressional action.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 4 of 20
Attachment No.: 3
ALC Annual Plan Narrative
As a condition for receiving funds in support of the Secretary of Labor’s responsibilities under Sections
101(a)(15)(H)(i)(b) and 212(n), Sections 101(a)(15)(H)(ii)(a) and 218, and Section 212(a)(5)(A) of the
Immigration and Nationality Act (Act), under the United States Citizenship and Immigration Services
(USCIS) regulations at 8 CFR 214.2(h)(6) under Sections 101(a)(15)(H)(ii)(b) and 214(c) of the Act, under
Section 221 of the Immigration Act of 1990, and under Department of Labor (DOL) regulations at 20 CFR
Parts 655 and 656, ( agency name) agrees to assist the Employment and Training
Administration (ETA) to determine the availability of U.S. workers and the potential adverse effect on
wages and working conditions that the admission of alien workers might have on similarly employed U.S.
workers before employers can obtain a labor certification, and agrees to assist ETA by conducting
appropriate agricultural surveys and providing wage determination information to employers wishing to file
or update a labor attestation, Labor Condition Application, Application for Alien Employment Certification
(Form ETA 750), or an Application for Permanent Employment Certification (Form ETA 9089).
The sections of the Act and regulations cited above relate to DOL programs involving foreign workers as
follows:
o Section 101(a)(15)(E) (8 U.S.C. 1101(a)(15)(E), called E-3 nonimmigrant classification, applies to
professionals in specialty occupations who are nationals of Australia; Section 212(t) (8 U.S.C.
1182(t)), specifies the requirements or labor condition applications which must be filed by
employers seeking to employ such workers.
o Section 101(a)(15)(H)(i)(b) (8 U.S.C. 1101(a)(15)(H)(i)(b)), called H-1B nonimmigrant
classification, applies to professionals in specialty occupations and certain models; Section
212(n) (8 U.S.C. 1182(n)), specifies the requirements or labor condition applications which must
be filed by employers seeking to employ such workers.
o Section 101(a)(15)(H)(i)(b)(1) (8 U.S.C. 1101(a)(15)(H)(i)(b)(1)), called H-1B1 nonimmigrant
classification, applies to professionals in specialty occupations who are nationals of Chile or
Singapore; Section 212(t) (8 U.S.C. 1182(n)), specifies the requirements or labor condition
applications which must be filed by employers seeking to employ such workers.
o Section 101(a)(15)(H)(ii)(a) (8 U.S.C. 1101(a)(15)(H)(ii)(a)), called H-2A nonimmigrant
classification, applies to agricultural workers; Section 218 (8 U.S.C. 1188) specifies the conditions
for admission of temporary H-2A workers. DOL regulations at 20 CFR Part 655 specify the labor
certification requirements.
o Section 101(a)(15)(H)(ii)(b) (8 U.S.C. 1101(a)(15)(H)(ii)(b)), called H-2B nonimmigrant
classification, applies to temporary non-agricultural workers. USCIS regulations at 8 CFR
214.2(h)(6) and section 214(c) of the Act require consultation with DOL before aliens are admitted
to the United States. The regulations for the H-2B program are found in DOL regulations at 20
CFR Part 655. Procedures pursuant to those regulations are documented in General
Administration Letter (GAL) No. 1-95; GAL No. 1-95, Change 1; and Field Memorandum No. 25-
98. The H-2B program is authorized only if two conditions are met:
• The alien must be coming temporarily to the U.S., and
• The services or labor which the alien will be performing must also be temporary in nature.
o Section 212(a)(5)(A), “Labor certification,” prohibits entry of an alien into the U.S. for the purpose
of seeking employment unless the Secretary of Labor certifies there are not sufficient U.S.
workers who are able, willing, qualified, and available and employment of the alien will not
adversely affect the U.S. workers wages and working conditions. The regulations implementing
the determination and granting of labor certifications for aliens seeking permanent employment
are found at 20 CFR Part 656. Provisions governing prevailing wage determinations are found in
§ 656.40.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 5 of 20
State Workforce Agency Requirements and Responsibilities
( Agency Name ) shall:
• Provide prevailing wage determinations for all non-agricultural labor certification programs in
accordance with the Prevailing Wage Determination Policy Guidance for Nonagricultural
Immigration Programs;
• Process H-2B temporary non-agricultural labor certification applications in accordance with
existing policy and time frames; and
• Receive new applications for H-2A temporary agricultural labor certification, performing prevailing
wage and prevailing practice surveys, ensuring housing inspections are conducted, and
processing job orders.
SWAs are to issue prevailing wage determinations to employers to accompany their applications for
permanent labor certification. These wage determinations are to be provided in a responsive and timely
manner. All other functions of permanent labor certification will be performed by the National Processing
Centers in Atlanta and Chicago.
1. SWA Responsibilities under Labor Certification Programs
Employers requesting H-2A temporary agricultural certification or H-2B temporary non-agricultural
certification for alien workers are required to do the following:
• Demonstrate that they have attempted to recruit U.S. workers through advertising, the State
Workforce System, and/or by other specified means.
• Offer prevailing wages and working conditions that will not adversely affect similarly employed
U.S. workers.
• Fulfill the duties listed in 20 CFR 656.21 listed below:
o Performing initial processing of non-agricultural applications
o Conducting special recruitment (outside of regular workforce agency recruitment and
referral activities) for U.S. workers
o Conducting prevailing wage surveys for agricultural occupations
o Determining prevailing wage rates using the Occupational Employment Statistics system
and review of employer supplied surveys
o Preparing Form ETA 232 and Form ETA 232A reports
o Obtaining data needed for making prevailing practice determinations
o Submitting other required reports
o Gathering other information which forms the basis for Office of Foreign Labor Certification
determinations to grant or deny labor certifications
2. Major SWA Responsibilities for the ALC Agricultural Program
Before Required Filing Date:
• Meet with employers to encourage early filing, inform employers of any new/emerging
requirements, and assist employers in preparing job offers/orders. Special emphasis shall be
placed by SWAs in the areas of Agricultural Prevailing Wage Surveys, assisting employers to
prepare job orders and positive recruitment plans which are most likely to reach and encourage
response by U.S. workers.
• Conduct prevailing wage surveys and submit them to the national office for verification.
• Conduct housing inspections (where conditional access is not involved). Housing inspections
should be scheduled by the State Agency prior to the filing of applications for those employers
who regularly use the H-2A program.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 6 of 20
• Gather information and provide advice to the respective National Processing Center (Atlanta or
Chicago) on prevailing practices (family housing, utilization of crewleaders and crewleader
overrides, transportation advances, and frequency of payment).
• Gather information on U.S. worker availability to assist the National Processing Center in
determining positive recruitment requirements.
Forty-Five (45) Days Before Date of Need:
• Receive duplicate of employer application and job offer.
• Prepare local job order and begin local recruitment.
• Advise the National Processing Center if any components appear unacceptable for H-2A
clearance purposes.
• Maintain record of referrals and actions taken thereon; report to the National Processing Center
any "questionable" refusals to hire.
• Respond to National Processing Center requests for assistance/clarification on employer’s
application.
• Begin preparation of clearance order based on employer's job offer portion of application (if not
done before).
• Assist employer in preparing advertisement plans based on the requirements from the National
Processing Center.
Upon Receiving Notification by Telephone (or E-mail) from the National Processing Center on
Whether or not the Application is Accepted:
• If application accepted, finalize clearance order; clear to states designated by the National
Processing Center.
• If application not accepted, revise clearance order to incorporate modifications required by the
National Processing Center (but do not submit).
• Consult with employer to determine if employer agrees to modifications.
• If employer intends to appeal to the Administrative Law Judge (ALJ), put clearance order in
abeyance.
• Assist employer in making modifications, if appropriate (Form ETA 795 if clearance order already
prepared and ready for transmittal).
After Clearance Order Approved by the National Processing Center:
• Mail order to other areas specified by the National Processing Center.
• Perform other actions related to recruitment specified by the National Processing Center.
• Review employer advertising--ensure it is published/broadcast.
• Refer workers; facilitate referrals from other states (maintain records of referrals and actions
taken thereon).
• Assist employer in processing requests for amendments (the National Processing Center must
approve).
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 7 of 20
• Ensure that approved amendments are included in job order package.
• Ensure previous editions of job orders are corrected or updated.
Housing Inspections:
• Complete all scheduled housing inspections.
• If deficiencies are found, inform employer(s) that they have five calendar days to correct. Re-
inspect five days later.
• If housing not approved after the re-inspection, the clearance order must be canceled and
referred workers should be notified.
• The Immigration and Nationality Act requires that employers furnish housing that meets
applicable standards before certification can be issued (INA sec. 218(c)(4)). Documentation that
the employer’s housing meets applicable standards must be received by the Certifying Officer
prior to certification being granted. SWAs should encourage employers who expect to obtain
their certification 30 days before the date of need to have housing ready for inspection at the time
of filing their application or earlier. SWAs should be prepared to conduct housing inspections
prior to the filing of applications, as appropriate, and should even plan to schedule housing
inspections prior to filing for those employers who regularly use the H-2A program.
Twenty-Four (24) Hours Before Date of Need (Suggested):
• Submit report on SWA recruitment to the National Processing Center.
After Certification Determination:
• Continue to refer workers who apply for the job.
• If proof of advertising is not received prior to the granting of the labor certification, obtain from
employer.
• Respond to National Processing Center requests for assistance/advice on re-determination
requests.
After Date of Need:
• Continue to refer workers who apply if comparable alternative employment is not available (up to
50 percent of the contract period).
• Advise the National Processing Center if employer refuses to accept referred workers.
• Respond to National Processing Center requests for assistance/advice on re-determination
requests and recruitment of replacement workers (employer must report workers not accepted or
fired to the SWA; the National Processing Center has 72 hours to act on re-determination
requests).
• Refer worker complaints on non-performance of contracts to the Wage and Hour Division (ESA).
• Provide information (and other assistance) to the ESA Wage and Hour Division in its
investigations.
• Investigate employer complaints on 50 percent rule violations (20 CFR 655.106(g) and
655.203(e) (logging)).
• Advise employers, and the National Processing Center if appropriate, of legal or regulatory
actions mandating changes in work situation.
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Office of Foreign Labor Certification Page 8 of 20
• Conduct field checks at job sites only where U.S. workers have been placed through the
clearance system (coordinate with the National Processing Center and ESA Wage and Hour
Division; do not duplicate Wage and Hour targeted enforcement visits).
• Cancel job order when 50 percent of work contract has elapsed.
• Advise the National Processing Center if worker terminations come to their attention.
3. Major SWA Responsibilities for the ALC Non-Agricultural Program
Before Filing of Application:
• Respond to inquiries about non-agricultural certification programs.
• Advise employers, applicants, and aliens, as appropriate, about requirements of non-agricultural
labor certification programs.
• Refer employers, applicants, and aliens, as appropriate, to the National Processing Center for
further information regarding non-agricultural labor certification and attestation programs.
• Provide prevailing wage information.
• Mail forms, regulations, instructions, etc., to employers, attorneys, and other interested members
of the public.
After Filing of Application (H-2B program):
• Review application for completeness.
• Advise employers, as appropriate, of deficiencies and corrections that should be made to
application.
• Provide prevailing wage determinations to employers and include in the case file.
• Prepare job orders from the ETA 750 and transmit to Job Bank for regular SWA recruitment
activity.
• Monitor and collect referrals from SWA verification system.
• Advise employers of recruitment and other regulatory requirements.
• Screen applicant resumes received against advertisements to assure that applicants meet
employer requirements and make referrals of only qualified applicants to employers.
• Collect recruitment results from employers on all applicants who responded to the employer's
recruitment efforts, including those who responded directly to the employer.
• Prepare case file for review by the Certifying Officer.
• Transmit case file to the National Processing Center with state recommendations.
• Furnish information on applications to the U.S. Citizenship and Immigration Services (USCIS) and
other law enforcement agencies.
After Transmission of Case File to the National Processing Center (H-2B program):
• Respond to requests for further information from the National Processing Center and law
enforcement agencies, such as USCIS and the Office of the Inspector General.
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Office of Foreign Labor Certification Page 9 of 20
4. SWA Responsibilities under Labor Attestation and Labor Condition Application Programs
Employers filing labor condition applications for H-1B, H-1B1, or E-3 nonimmigrant workers must file
their application electronically via the Department of Labor’s website at http://www.lca.doleta.gov/.
Employers filing labor condition applications have the option of requesting prevailing wage data from
the SWA or using other legitimate sources such as appropriate published wage surveys.
If requested to do so, the SWA must provide to employers or their representatives requesting such
information the prevailing wage data for the occupation in the area of intended employment. This
wage determination must be made from the Occupational Employment Statistics data unless the
SWA is requested by an employer or employer’s representative to review a survey provided for
prevailing wage purposes to determine if the survey meets standards published by DOL. If so
requested, the SWA must inform the employer or the employer’s representative if the survey may be
used as the prevailing wage in that instance.
Prevailing Wage Determination:
Each Prevailing Wage Determination must include the following elements in order to make the
determination usable in support of a form ETA 750, 9035 or 9089.
• Employer information
o Name & address
• Work location
o City (County) and State
• Job duties
o Employer’s job title
o The activities performed while doing this job
o Any requirements that are not included elsewhere such as travel (where not inherent in
the job), special skills, licenses unless inherent in the occupation/job or work conditions
such as live on site or split shifts.
• Employer’s education, training and experience requirements
• SOC Code and SOC Title
• Wage ($/time)
• Determination Date
• End date of the validity period
• The SWA organization that issued the PWD
• A tracking number (any appropriate combination of letters, numerals and symbols) - to be used
for linking the PWD to the SWA file.
Additionally it would be useful to include the following statements on the determination, thus providing
needed information to the employer.
This prevailing wage determination may be used for more than one application, as long as all job
related details and the area of intended employment remain the same.
Under 20 CFR 656.40(i) Wage can not be lower than required by any other law. No prevailing wage
determination for labor certification purposes made under this section permits an employer to pay a
wage lower than the highest wage required by any applicable Federal, state, or local law
5. Special Assurances
• Services provided for activities shall conform with regulations at 20 CFR Parts 655 and 656; field
issuances, and other instructions issued by DOL; ETA Handbook No. 398 (H-2A Program
Handbook); ETA Handbook No. 385 (Employment Service Forms Preparation Handbook),
General Administration Letter (GAL) No. 1-95, "Procedures for H-2B Temporary Labor
Certifications in Non-Agricultural Occupations" (November 10, 1994); GAL No. 1-95, Change 1,
"Procedures for H-2B Temporary Labor Certifications in Non-Agricultural Occupations”
(December 1997); Field Memorandum No. 25-98, “H-2B Temporary Non-Agricultural Labor
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Office of Foreign Labor Certification Page 10 of 20
Certification Program Requirements” (April 1998); and Training and Employment Guidance Letter
No. 4-03, “Procedures for Temporary Labor Certification in the Entertainment Industry.”
• Services provided for temporary agricultural and logging alien certification activity shall conform
with regulations at 20 CFR Part 655, handbooks, field issuances, and other instructions issued by
DOL, e.g., ETA Handbook No. 398, issued March 4, 1988.
• Summary data relating to prevailing wage surveys conducted by the SWA shall be released to
those who request it. However, data identifying, or which might contain information leading to the
identification of a specific employer surveyed shall not be released by the SWA, since such action
could result in possible competitive damage to the employer and could inhibit the employer from
cooperating in future surveys.
• The state shall assure that job orders placed into the regular SWA recruitment system pursuant to
regulations at 20 CFR 656.21(f) do not contain symbols or words which identify the job order as
an alien certification order, and that SWA staff are instructed to refrain from discouraging U.S.
workers who seek referral to employers on such job orders.
• Contracting out any aspects of the ALC programs will not be allowed without a pre-approval in
writing from the national office. If such requests are included in the annual plan and are clearly
detailed in a cover memorandum, the national office can provide pre-approval. Otherwise, states
must provide a written justification and cost estimate.
• Advertisements, though they must include many specific elements of information, should be
written in a style consistent with non-ALC advertisements, organized, titled, and placed in a
logical section of the publication so as to reach the maximum number of U.S. workers.
6. Allowable Costs
• Costs may be attributed to activities directly in support of the ALC programs (regulations at 20
CFR Part 656; 20 CFR Part 655, Subparts A, B, C, H and L), including costs for all activities
related to the preparation of and submittal of ETA 232 and ETA 9037 reports, and for indirect
support as a fair share of overhead.
• Regular workforce agency activities under Wagner-Peyser, such as referring workers to job bank
orders, migrant and seasonal farmworker recruitment, and the processing of complaints under the
SWA complaint system, are not allowable costs unless the activity can be directly attributed to
extraordinary functions in the processing of a specific labor certification application.
7. Performance Standards
• The state’s performance shall be reviewed according to labor certification GAL No. 1-95,
"Procedures for H-2B Temporary Labor Certifications in Non-Agricultural Occupations"
(November 10, 1994), Field Memorandum No. 25-98, “H-2B Temporary Non-Agricultural Labor
Certification Program Requirements” (April 1998), “Prevailing Wage Determination Policy
Guidance for Nonagricultural Immigration Programs” (May 2005); ETA Handbooks Nos. 398 and
385; and any subsequent ETA advisories concerning alien certification activities. Fund utilization
will be reviewed against the Funding Plan and actual workload levels, and when expenditures are
significantly below plan, ETA may de-obligate funds for redistribution.
• The state shall continue to provide prevailing wage activities for labor certification/attestation
programs with individuals who have relevant skills. Current programs, however, require
enhanced knowledge, skills, and expertise in evaluating prevailing wage surveys and in making
prevailing wage determinations. To increase the state’s capacity to perform this work, and to
assure credibility, validity, and reliability of wage surveys and determinations, state allocations
include funding to support a prevailing wage expert function. In states with a small labor
certification workload, it is appropriate for that function to be filled on a part-time basis. Each
state shall:
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 11 of 20
1. Staff this function with an individual who has at least a bachelor’s degree in statistics or
economics, or a degree in another field with a minimum of six (6) hours in statistics, and
at least two years of experience in data collection, statistical analysis, sampling
techniques, labor market analysis, or conducting wage surveys and classifying jobs.
2. Make the incumbent responsible for implementing national prevailing wage policies,
evaluating prevailing wage surveys for labor certification/attestation programs, training
other staff, responding to prevailing wage issues and challenges, and giving expert
testimony in litigation cases.
• When requested by the National Office/National Processing Center, States shall ensure that
appropriate labor certification staff travel within or outside the state to attend meetings, training
sessions, speaking engagements, or other activities deemed necessary by the national office to
carry out effective program operations. Travel for such activities is accounted for within program
funding levels.
• The state shall continue to maintain an automated Alien Certification Processing System(s) for
receiving and tracking applications, writing letters, and maintaining a prevailing wage database.
• Due to continued growth of the H-2B non-agricultural temporary labor program, States are
expected to initially screen each H-2B application to ensure that the employer’s need for the
duties to be performed is truly temporary. That need may be neither ongoing nor continuous.
The employer has the burden of establishing the facts necessary to support such a finding in the
application. States should immediately consult with their respective National Processing
Center when there is doubt. Because of the need to make a determination on applications
within 60 days of receipt by states, the state is responsible for informing its Certifying Officer
regarding the status of the H-2B case workload on a monthly basis to ensure timely completion.
H-2B applications should be processed in an expedited manner and processed
applications should be transmitted to the Certifying Officer within 30 days from the date
the application was received by the state.
8. Reporting Requirements
• Basic reporting requirements for Labor Certification include financial and program reporting
requirements as specified by ETA. The required program reports, including the Form ETA 232
and Form ETA 232A, will be submitted in accordance with ETA Handbook No. 385 and ETA
Handbook No. 398.
• Financial reports relating to staff time and other charges to the alien certification reimbursable
grant shall be available to national office staff. Inappropriate charges shall be questioned and
may be disallowed.
• Informally, states will report to the National Processing Center increases in H-2A and H-2B
activity. In addition, states should report all new occupations or crop activity for these
programs.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 12 of 20
ANNUAL PLAN NARRATIVE
SUPPLEMENT I
(Agency Name) shall prepare a narrative plan which explains how it will deliver labor
certification/attestation services in FY 2007. This narrative should include, at a minimum, the following
completed chart:
Number Planned
A. The projected number of job orders related to temporary agricultural
alien certification applications to be processed.
B. The projected number of temporary non-agricultural alien certification
applications to be processed.
C. The projected number of prevailing wage surveys to be conducted in
agricultural activities, including projected wage surveys in
anticipation of H-2A requests (this includes logging).
D. The projected number of housing inspections to be conducted in
anticipation of H-2A orders (this includes logging).
E. The projected number of prevailing wage determinations to be
provided to employers for non-agricultural occupations by the
following categories:
PERM
H-1B
H-2B
F. Number of Full Time Equivalent (FTE) staff funded by this grant.
G. Any plans for changes in existing operations, including the prevailing wage program, which will
substantially affect negotiated goals.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 13 of 20
ANNUAL PLAN NARRATIVE
SUPPLEMENT II
Statement of Work for Housing Inspections
Note: Due to the special nature of housing inspections, a separate Statement of Work is included.
(Agency Name) shall prepare a narrative plan which explains how it will deliver this activity in
FY 2007. This narrative should include, at a minimum, the following:
A. Statement of the negotiated goals to be achieved.
B. The number of pre-occupancy housing inspections to be conducted.
C. Plans for changes in the existing operations, if any, which may substantially affect negotiated
goals.
In addition, as a condition for receiving funds in support of the Secretary’s responsibility, (Agency
Name) agrees to do the following:
• Conduct pre-occupancy inspections of housing to be furnished to migrant and seasonal farmworkers
or other U.S. workers, or to nonimmigrant aliens admitted to the United States under temporary labor
certification programs for temporary employment in agriculture or logging.
• Assist employers in recruiting agricultural and logging workers. These employers are required to
provide housing at no cost, or public housing, for workers who are not reasonably able to return to
their place of residence the same day. In the case of employers seeking H-2A agricultural or H-2B
logging labor, free housing must be provided. The housing must meet ETA standards described in 20
CFR Part 654, subpart E or OSHA standards at 29 CFR 1910.142 and be sufficient to house the
number of workers requested.
• Determine, through a pre-occupancy inspection, that such housing is, in fact, available and meets
appropriate standards. The employer seeking labor certification may also provide rental or other
public accommodation-type housing. Such housing must meet applicable local or state standards,
and does not have to be inspected by state agency staff when such standards exist. However, in the
absence of applicable local or state standards, such housing must meet Federal standards at 29 CFR
1910.142 (OSHA) and must be inspected by the state agency or other appropriate public agency prior
to occupancy.
1. Special Assurances.
• The state shall adhere to regulations at: 20 CFR Part 655, Subparts B and C, Labor Certification
Process for Temporary Agricultural and Logging Employment; Part 654, Subpart E, Housing for
Agricultural Workers; and Part 653, Subpart F, Agricultural Clearance Order Activity. Actual
housing inspections may be conducted under certain conditions in accordance with OSHA
standards at 29 CFR 1910.142, Temporary Labor Camps.
• SWAs should encourage employers who expect to obtain their certification 30 days before the
date of need to have housing ready for inspection at the time of filing their H-2A application or
earlier.
• SWAs should be prepared to conduct housing inspections prior to the filing of applications.
• SWAs should plan to schedule housing inspections prior to the filing of H-2A applications for
those employers who regularly use the H-2A program.
• SWAs should be encouraged to evaluate alternative methods of conducting pre-occupancy
housing inspections (i.e., State Health Department, Agricultural Department, etc.).
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 14 of 20
2. Allowable Costs.
• Costs may be attributed to activities in support of tasks described in 20 CFR Part 654 Subpart E,
Housing for Agricultural Workers and/or 29 CFR 1910.142, Temporary Labor Camps, and for
indirect support as a fair share of overhead.
3. Performance Standards.
• The state’s performance will be reviewed according to the applicable Housing Inspection
Checklist in ETA Handbook No. 398, the applicable Federal housing standards.
4. Reporting.
• Required reporting of activity as specified on Office of Management and Budget (OMB) approved
ETA forms. Financial reporting will be as specified by ETA.
• States should plan to track the costs associated with conducting pre-occupancy housing
inspections to assist the national office in the allocation of future resources. The costs include,
but are not limited to, staff resources, travel expenditures, and administrative costs (see
Supplement IV).
• States should submit an estimate of their annual cost for conducting pre-occupancy
housing inspections along with this annual plan (see Supplement IV).
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 15 of 20
ANNUAL PLAN NARRATIVE
SUPPLEMENT III
Statement of Work for Agricultural Wage Surveys
Note: Due to the special nature and importance of agricultural prevailing wage surveys, a
separate Statement of Work is included.
(Agency Name) shall prepare a narrative plan which explains how it will deliver this activity in FY
2007. This narrative should include the number of prevailing wage surveys to be conducted and for
which crop activity.
As a condition for receiving funds in support of the Secretary's responsibility, (Agency Name)
agrees to conduct prevailing wage surveys of agricultural and logging activities in accordance with ETA
Handbook No. 385. The SWA assists employers in recruiting agricultural and logging workers. Since
those workers do not have knowledge of wages in distant locations, the SWA provides a level of wage
protection by requiring that intra- and inter-state clearance orders offer a prevailing wage (20 CFR
653.501(d)(4)), if it is higher than the state or Federal minimum. For H-2A orders involving alien workers,
the prevailing wage must be offered if it is higher than the state or Federal minimum and the Adverse
Effect Wage Rate (AEWR) (20 CFR 655.102(b)(9)).
In order to establish the required prevailing wages, surveys must be done in accordance with ETA
Handbook No. 385 for each agricultural reporting area in which a crop activity meets the threshold
specified in Section I, C. 1. a. of the Handbook. When the data are collected and compiled in accordance
with the Handbook, a signed Form ETA 232 must be submitted to the national office for review and
confirmation before publication.
1. Special Assurances.
• The state shall submit to the National Office a plan for the surveys it is scheduling for the coming
year. This plan must include all the surveys which will be conducted by the state in the upcoming
season. Accordingly, the state’s survey targets should be based on estimated job order activity to
be produced by H-2A applications. Prevailing wage surveys must be completed in the following
instances: (1) when there were more than 100 workers in one crop last season or you expect
more than 100 workers in the current season; (2) when there were H-2A workers last season or
you expect H-2A workers in the current season; (3) when it is a very complex method of payment
(i.e., piece rates); and, (4) all mandatory national interest surveys such as Custom Combine,
Sheep and Goat Herding, Nurseries, and East Coast Apples. Wage surveys should not be
conducted if they do not fit into the above categories. The plans should be mailed to Mr. Ben
Orona, Office of Foreign Labor Certification, 200 Constitution Avenue, NW, Room C-4312,
Washington, D.C. 20210, or faxed to (202) 693-2768.
• The state shall submit the results of its prevailing wage surveys (ETA form 232) promptly to the
National Office as well as to the respective National Processing Center (Atlanta or Chicago), so
the correct wage is established for the next cycle of crop activity. Timely submission is critical to
ensure release of wage determinations by the national office well ahead of the crop activity start
date. The ETA 232 forms should be mailed to Mr. Ben Orona, Office of Foreign Labor
Certification, 200 Constitution Avenue, NW, Room C-4312, Washington, D.C. 20210, or faxed to
(202) 693-2768.
2. Allowable Costs.
• Costs may be attributed to tasks described in ETA Handbook No. 385 for crop activities which
meet the criteria specified above and for indirect support as a fair share of overhead.
3. Performance Standards.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 16 of 20
• The state’s performance will be reviewed according to its adherence to the procedures for wage
surveys in ETA Handbook No. 385. Irrespective of the Adverse Effect Rate (AEWR) published
for a given state each year, the procedures contained in the ETA Handbook No. 385 require that
prevailing wage surveys be conducted for any crop activity that is anticipated in the upcoming
season.
4. Reporting.
• Completed surveys will be submitted on the ETA-232. Financial reporting will be as specified by
ETA.
• States should plan to track the costs associated with conducting prevailing wages in order to
assist the national office in the allocation of future resources. The costs include, but are not
limited to, staff resources, travel expenditures, and administrative costs (see Supplement IV).
• States should submit an estimate of their annual cost for conducting H-2A prevailing wage
surveys along with their annual plan (see Supplement IV).
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 17 of 20
ANNUAL PLAN NARRATIVE
SUPPLEMENT IV
Costing of H-2A Activities
FY 2006 Estimate
1. Instructions
Complete the table below using data from the prior fiscal year to estimate the cost of conducting H-2A
activities. The completed table should be attached to the annual plan.
(1) Housing Inspections:
• Include in the total cost estimate: travel time, inspection time, travel mileage, and completion of
paperwork. Include in the total, all housing inspections started in FY 2007 regardless of the final
completion date.
• If housing inspections are done by another organization, estimate the cost that the H-2A portion
adds to their total cost and include this amount in the table.
(2) Prevailing Wage/Practice Surveys:
• Include in the total cost estimate the development of the survey instrument, postage, collection of
responses, collation of information, and publication of results.
• Include in the total, all surveys started in FY 2007 regardless of the final completion date.
(3) Job Orders Processed:
• Include in the total cost estimate the creation and maintenance of files, taking into account the
cost associated with receiving applications, referring applicants, and releasing orders into
inter/intra-state job system.
2. Costing Sheet (Do not include logging.)
Activity Total Total Cost Average
Number Cost
Housing Inspections
Prevailing Wage/Practice Surveys
Job Orders Processed
Total Cost of H-2A Activities
3. Calculations
• Average Cost = Total Cost / Total Number
• Total Cost of H-2A Activities = Total Cost of Housing Inspections + Total Cost of Prevailing
Wage/Practice Surveys + Total Cost of Job Orders Processed
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 18 of 20
ANNUAL PLAN NARRATIVE
SUPPLEMENT V
Contact Information
1. Instructions
Contact information for this grant should be attached to the annual plan. If more than one contact person
is appropriate, please provide the additional information.
Name:
Title:
Address:
Telephone Number:
E-mail Address:
Fax Number:
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 19 of 20
Attachment No.: 4
Annual Plan Procedures
1. Annual Funding Agreement.
The current agreement includes an Assurances and Certifications package to encompass all Program
Year 2006/Fiscal Year 2007 program activities. Notice of Obligation documents for the allotment
balances will be issued by the National Office Grant Officer based upon national office approval of Annual
Plans.
2. Annual Plan.
The Annual Plan includes an Application for Federal Assistance (SF-424), transmittal letter, work
statements, and budget information. Consistent with national office guidelines, negotiations between ETA
and the Grantee will determine each state’s annual level of funding for Alien Labor Certification.
• The Annual Plan will have a performance period of 12 months beginning October 1, 2006, and
ending September 30, 2007.
• The plan package submitted from the states to the National Office Grant Officer should consist
of a transmittal letter and one original and two copies of the following:
A. Application for Federal Assistance (SF-424)
B. Annual Budget and Quarterly Funding Plan (SF-424A—Section D only)
Note: Please include a budget supplement to explain and list all proposed equipment
purchases of $5,000 or more and any subcontracts.
C. Annual Plan Narrative including completed Supplements I, II, III, IV, and V.
• The national office will negotiate annual plans with states for each activity to be funded. The state is
to prepare a description of the goals to be achieved as negotiated with the national office.
3. Plan Modifications.
The national office and the state may jointly modify the Annual Plan including negotiated changes in the
plan period and in funding levels during the year. The plan modification requests must include a
transmittal letter, a revised annual budget, and the quarterly spending plan. The National Office Grant
Officer has the authority to execute funding adjustments where a state is not spending at agreed upon
levels. When an adjustment is necessary, a unilateral modification may be issued. In the event that the
Secretary of Labor may be required by future legislation to carry out other responsibilities not currently
anticipated, the states will be requested to submit a modification to the Annual Plan in order to carry out
these additional duties.
4. Financial Reconciliation.
After the end of the fiscal year, a financial reconciliation procedure will be conducted to reconcile
accounting records maintained by the grantee and the Department of Labor’s original accounts. It may
become necessary to revise funding levels in the new plan for a particular state when the reconciliation is
completed.
State Funding Information and Guideline Document 3/13/2007
Office of Foreign Labor Certification Page 20 of 20
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