TEGL18-06_Att1.pdf

ETA Advisory File Text

State Funding Information and Guideline Document 3 13 2007 Office of Foreign Labor Certification Page 1 of 20 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 2 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 3 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 4 of 20 Attachment No. 2 Estimated FY 2007 ALC Funding Levels Atlanta National Processing Center U.S. Department of Labor Employment and Training Administration Harris Tower 233 Peachtree Street Suite 410 Atlanta Georgia 30303 Phone 404 893-0101 Fax 404 893-4642 Alabama 61 736 Connecticut 205 913 Delaware 78 340 Florida 464 953 Georgia 432 559 Kentucky 259 925 Maine 231 125 Maryland 403 462 Massachusetts 611 866 Mississippi 74 083 New Hampshire 69 141 New Jersey 478 463 New York 1 089 162 North Carolina 160 815 Pennsylvania 445 296 Puerto Rico 52 916 Rhode Island 56 444 South Carolina 71 086 Tennessee 132 405 Vermont 80 685 Virgin Islands 52 916 Virginia 672 577 Washington DC 93 155 West Virginia 58 208 Chicago National Processing Center U.S. Department of Labor Employment and Training Administration 844 North Rush Street 12th Floor Chicago Illinois 60611 Phone 312 886-8000 Fax 312 886-1688 Alaska 56 444 Arizona 211 445 Arkansas 65 263 California 1 927 833 Colorado 183 798 Guam 52 916 Hawaii 52 916 Idaho 168 081 Illinois 335 766 Indiana 56 444 Iowa 63 500 Kansas 94 983 Louisiana 129 045 Michigan 234 481 Minnesota 79 958 Missouri 98 682 Montana 59 972 Nebraska 83 193 Nevada 63 789 New Mexico 65 263 North Dakota 72 220 Ohio 161 984 Oklahoma 61 736 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 5 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 6 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 7 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 8 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. State Funding Information and Guideline Document 3 13 2007 Office of Foreign Labor Certification Page 9 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. State Funding Information and Guideline Document 3 13 2007 Office of Foreign Labor Certification Page 10 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 State Funding Information and Guideline Document 3 13 2007 Office of Foreign Labor Certification Page 11 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 12 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 13 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 prevaili ng 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 14 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 15 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 16 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 17 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 18 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 Number Total Cost Average 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 19 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 20 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.