[Federal Register Volume 60, Number 12 (Thursday, January 19, 1995)]
[Rules and Regulations]
[Pages 3950-3979]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-964]




[[Page 3949]]

_______________________________________________________________________

Part II





Department of Labor





_______________________________________________________________________



Employment and Training Administration



Wage and Hour Division



_______________________________________________________________________



20 CFR Part 655



29 CFR Part 506



Attestations by Employers Using Alien Crewmembers for Longshore 
Activities in U.S. Ports; Interim Final Rule

  Federal Register / Vol. 60, No. 12 / Thursday, January 19, 1995 / 
Rules and Regulations   

[[Page 3950]]


DEPARTMENT OF LABOR

Employment and Training Administration

20 CFR Part 655

RIN 1205-AB03
Wage and Hour Division

29 CFR Part 506

RIN 1215-AA90


Attestations by Employers Using Alien Crewmembers for Longshore 
Activities in U.S. Ports

AGENCIES: Employment and Training Administration and Wage and Hour 
Division, Employment Standards Administration, Labor.

ACTION: Interim final rule; request for comments.

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SUMMARY: The Employment and Training Administration (ETA) and the 
Employment Standards Administration (ESA) of the Department of Labor 
(DOL or Department) are promulgating regulations to implement 
amendments to existing regulations governing the filing and enforcement 
of attestations by employers seeking to use alien crewmembers to 
perform longshore work in the U.S. The amendments relate to employers' 
use of alien crewmembers to perform longshore work at locations in the 
State of Alaska. Under the Immigration and Nationality Act employers, 
in certain circumstances, are required to submit these attestations to 
DOL in order to be allowed by the Immigration and Naturalization 
Service (INS) to use alien crewmembers to perform specified longshore 
activities at locations in the State of Alaska. The attestation process 
is administered by ETA, while complaints and investigations regarding 
the attestations are handled by ESA.

DATES: Effective Date: The interim final rule promulgated in this 
document is effective on February 21, 1995.

    Comments: Written comments on the interim final rule are invited 
from interested parties. Comments shall be submitted by March 20, 1995.
ADDRESSES: Submit comments to: Doug Ross, Assistant Secretary, 
Employment and Training Administration, Department of Labor, Room N-
4456, 200 Constitution Avenue NW., Washington, DC 20210.

FOR FURTHER INFORMATION CONTACT: On 20 CFR part 655, subpart F, and 29 
CFR part 506, subpart F, contact Flora T. Richardson, Chief, Division 
of Foreign Labor Certifications, U.S. Employment Service, Employment 
and Training Administration, Department of Labor, Room N-4456, 200 
Constitution Avenue NW., Washington, DC 20210. Telephone: (202) 219-
5263 (this is not a toll-free number).
    On 20 CFR part 655, subpart G, and 29 CFR part 506, subpart G, 
contact Solomon Sugarman, Chief, Farm Labor Programs, Wage and Hour 
Division, Employment Standards Administration, Department of Labor, 
Room S-3502, 200 Constitution Avenue NW., Washington, DC 20210. 
Telephone: (202) 219-7605 (this is not a toll-free number).

SUPPLEMENTARY INFORMATION:

I. Paperwork Reduction Act

    The information collection requirements of the Form ETA 9033-A 
under the Alaska exception and contained in this rule have been 
submitted to the Office of Management and Budget (OMB) for clearance 
under the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and 
have been assigned OMB Control No. 1205-0352. The information 
collection requirements of the Form ETA 9033 under the prevailing 
practice exception, assigned OMB Control No. 1205-0309, remain 
unchanged by this rulemaking. The Form ETA 9033 was published in the 
Federal Register with the final rule to implement the prevailing 
practice exception on September 8, 1992 (57 FR 40966).
    The Employment and Training Administration estimates that employers 
will be submitting up to 350 attestations per year under the Alaska 
exception. The public reporting burden for this collection of 
information is estimated to average 3 hours per response, including the 
time for reviewing instructions, searching existing information/data 
sources, gathering and maintaining the information/data needed, and 
completing and reviewing the attestation. It is likely that the burden 
will be considerably less in the second and subsequent years in which 
an employer submits an attestation.
    Written comments on the collection of information requirements 
should be sent to the Office of Information and Regulatory Affairs, 
Office of Management and Budget, Attention: Desk Officer for Employment 
and Training Administration, Washington, DC 20503.

II. Background

    The Coast Guard Authorization Act of 1993, Pub. L. 103-206, 107 
Stat. 2419 (Coast Guard Act), was enacted on December 20, 1993. Among 
other things, the Coast Guard Act amended section 258 of the 
Immigration and Nationality Act (INA) (8 U.S.C. 1101 et seq.) which 
places limitations on the performance of longshore work by alien 
crewmembers in U.S. ports.
    The loading and unloading of vessels had traditionally been 
performed by U.S. longshore workers. However, until passage of the 
Immigration Act of 1990 (IMMACT 90), Pub. L. 101-649, 104 Stat. 4978, 
(November 29, 1990), alien crewmembers had also been allowed by 
Immigration and Naturalization Service (INS) regulation to do this kind 
of work in U.S. ports, because longshore work was considered to be 
within the scope of permitted employment for alien crewmembers. The 
IMMACT 90 limited this practice in order to provide greater protection 
to U.S. longshore workers.
    Prior to the Coast Guard Act's enactment, section 258 of the INA 
prohibited alien crewmembers admitted with D-visas from performing 
longshore work except in four specific instances: (a) Where the 
vessel's country of registration does not prohibit U.S. crewmembers 
from performing longshore work in that country's ports and nationals of 
a country which does not prohibit U.S. crewmembers from performing 
longshore work in that country's ports hold a majority of the ownership 
interest in the vessel; (b) where there is in effect in a local port 
one or more collective bargaining agreement(s), each covering at least 
30 percent of the longshore workers at a particular port and each 
permitting the activity to be performed by alien crewmembers; (c) where 
there is no collective bargaining agreement covering at least 30 
percent of the longshore workers and an attestation has been filed with 
the Department which states that the use of alien crewmembers to 
perform longshore work is permitted under the prevailing practice of 
the port, that the use of alien crewmembers is not during a strike or 
lockout, that such use is not intended or designed to influence the 
election of a collective bargaining representative, and that notice has 
been provided to longshore workers at the port; and (d) where the 
activity is performed with the use of automated self-unloading conveyor 
belts or vacuum-actuated systems; provided that, the Secretary of Labor 
(Secretary) has not found that an attestation is required because it 
was not the prevailing practice to utilize alien crewmembers to perform 
the activity or because the activity was performed during a strike or 
lockout or in order to influence the election of a collective 
bargaining representative. For this purpose, the term ``longshore 
work'' 

[[Page 3951]]
does not include the loading or unloading of hazardous cargo, as 
determined by the Secretary of Transportation, for safety and 
environmental protection and no attestations were or are necessary for 
the loading and unloading of such cargo.
    The Department published final regulations in the Federal Register 
on September 8, 1992, (57 FR 40966) to implement the prevailing 
practice exception under IMMACT 90. The fishing industry and the 
carriers worked together to comply with the law by filing the necessary 
attestations to qualify under the prevailing practice exception. The 
International Longshore and Warehousemen's Union responded to protect 
the jurisdiction of U.S. longshore workers by filing complaints 
pursuant to the attestations and seeking cease and desist orders to 
halt the performance of longshore work by the carrier's alien 
crewmembers.
    The basic problem was that the prevailing practice exception was 
apparently designed for established port areas. A lack of flexibility 
in the remote areas of Alaska where the longshore work needed to be 
performed, in some cases, prevented carriers from complying with 
Departmental regulations. As a result, even where there were no U.S. 
longshore workers available for the particular employment, employers in 
some of these remote areas were prohibited from performing the 
necessary longshore work, resulting in potential adverse impacts on the 
Alaskan fishing industry including the loss of American jobs. In order 
to remedy the situation, Congress consulted with representatives of the 
longshoremen's unions and the carriers and enacted special provisions 
recognizing the unique character of Alaskan ports.
    The Coast Guard Act amended the INA by establishing a new Alaska 
exception to the general prohibition on the performance of longshore 
work by alien crewmembers in U.S. ports. The Alaska exception provides 
that the prohibition does not apply where the longshore work is to be 
performed at a particular location in the State of Alaska and an 
attestation with accompanying documentation has been filed by the 
employer with the Department of Labor. The INA provides, however, that 
longshore work consisting of the use of an automated self-unloading 
conveyor belt or vacuum-actuated system on a vessel shall continue to 
be governed by section 258(c) of the INA (8 U.S.C. 1288(c)), even at 
locations in the State of Alaska. If, however, it is determined that an 
attestation is required for longshore work at locations in the State of 
Alaska consisting of the use of automated equipment, i.e., because the 
Administrator has determined, pursuant to a complaint, that it is not 
the prevailing practice to use alien crewmembers to perform the 
longshore activity(ies) through the use of the automated equipment, or 
was during a strike or lockout or intended to influence an election of 
a bargaining representative for workers in the local port, or if the 
Administrator issues a cease and desist order against use of the 
automated equipment without such attestation, the required attestation 
shall be filed by the employer under the Alaska exception and not under 
the prevailing practice exception. The amended INA provides that the 
prevailing practice exception no longer applies in case of longshore 
work to be performed at a particular location in the State of Alaska. 
As a result, U.S. ports in the State of Alaska which were previously 
listed in Appendix A, ``U.S. Seaports,'' have been removed from the 
Appendix in this interim final rule.
    The Alaska exception is intended to provide a preference for hiring 
United States longshoremen over the employer's alien crewmembers. The 
employer must attest that, before using alien crewmen to perform the 
activity specified in the attestation, the employer will make a bona 
fide request for and employ United States longshore workers who are 
qualified and available in sufficient numbers from contract stevedoring 
companies and private dock operators. The employer must also provide 
notice of filing the attestation to such contract stevedoring companies 
and private dock operators, and to labor organizations recognized as 
exclusive bargaining representatives of United States longshore 
workers. Finally, the employer must attest that the use of alien 
crewmembers to perform longshore work is not intended or designed to 
influence the election of a bargaining representative for workers in 
the State of Alaska.
    The Coast Guard Act provides that the Secretary of Labor shall 
prescribe such regulations as may be necessary to carry out the 
amendments to the INA. The INA further provides that attestations 
previously filed pursuant to the prevailing practice exception at 
section 258(c) of the INA (8 U.S.C. 1288(c)) would not expire at the 
expiration of their respective validity periods but would remain valid 
until 60 days after the date of issuance of final regulations by the 
Secretary. Absent a final rule for attestations under this program, 
employers are precluded from using alien crewmembers for longshore 
activity at a particular location in the State of Alaska unless an 
employer had a valid attestation for the location on file with ETA on 
the date of the Act's enactment. Thus, even where there are no 
qualified United States longshore workers available at a particular 
location in the State of Alaska, such an employer is prohibited from 
utilizing alien crewmembers to perform the necessary longshore work. 
This program affects a limited class of individuals and entities in 
Alaska. The Department consulted with representatives of all relevant 
parties in the development of this interim final rule and, for good 
cause, has determined that issuance of a proposed rule is unnecessary. 
5 U.S.C. 553(b)(B).
    Further, there is ongoing longshore work being performed off the 
coast of Alaska in connection with the fishing industry. Since delay in 
the issuance of an interim final rule precludes employers from filing 
attestations in Alaska in order to use the ``Alaska exception'', such 
employers may be encouraged by economic exigencies to utilize foreign 
crewmembers in longshore work illegally or to reflag their vessels to 
qualify for the reciprocity exception for vessels under the flags of 
countries which permit U.S. crewmembers to perform longshore work. 
Either of these actions by shippers would diminish employment 
opportunities for Alaskan stevedores, contrary to the purposes of the 
Act. Indeed, DOL has received information that further delay in 
implementing the Alaska exception could adversely impact the employment 
opportunities for Alaskan workers seeking longshore work. The 
Department, for good cause, has determined that this potential harm 
makes it impracticable and contrary to the public interest to delay 
implementation by publishing the rule as a proposed rule. 5 U.S.C. 
553(b)(B).
    Nevertheless, the Department is very interested in receiving 
comments on the interim final rule. These comments will be considered 
in the development of a final rule.

III. Attestation Process and Requirements

    The regulations for the attestation program for employers using 
alien crewmembers for longshore work in the United States are published 
at 20 CFR part 655, subparts F and G, and 29 CFR part 506, subparts F 
and G, 57 FR 40966 (September 8, 1992).

A. When and Where to File

    The regulations require that, to be acceptable, any attestation 
under the Alaska exception must be filed with ETA at least 30 days 
prior to the first 

[[Page 3952]]
performance of longshore activity by alien crewmembers, or anytime up 
to 24 hours before the first performance of the activity if the delay 
could not have been reasonably anticipated. An attestation must be 
filed only once per year for locations at which alien crewmembers will 
be used. Therefore, the 30-day filing requirement applies only to the 
first performance of longshore work after the attestation is filed. 
Subsequent arrivals to the same location in the State of Alaska in the 
same year do not require that an additional attestation be filed.
    Under the prevailing practice exception, the regulations require 
that a separate attestation be filed for each port at which the 
employer intends to use alien crewmembers to perform longshore work. 
The Department has determined that, under the Alaska exception, it is 
appropriate to accept attestations which contain multiple locations. An 
attestation must be filed by each individual employer but may apply to 
multiple vessels and multiple locations within the State of Alaska. For 
other States, the prevailing practice exception is port-specific and 
the employer is required to attest that there is no collective 
bargaining agreement in the port covering at least 30 percent of the 
longshore workers, and that it is the prevailing practice in the port 
for alien crewmembers to perform longshore work. There is no such port-
specific or location-specific attestation element or other provision 
under the Alaska exception.
    The Department requires that crewmember attestations for locations 
in the State of Alaska be submitted to and accepted by the Employment 
and Training Administration (ETA) regional office in Seattle, 
Washington. The address of the Seattle regional office is listed in the 
instructions for completing the Form ETA 9033-A.
    ETA shall make available for public examination in Washington, DC, 
a list of employers which have filed attestations, and for each such 
employer, a copy of the employer's attestation and accompanying 
documentation in a timely manner after the acceptance of the 
attestation.

B. Acceptance for Filing

    In accepting an attestation for filing, the regulations require 
that the application be filed with ETA at least 30 days before the 
first performance of the longshore activity (or anytime up to 24 hours 
before the first performance of the activity, upon a showing that the 
employer could not have reasonably anticipated the need to file an 
attestation for that location at that time). The term ``could not have 
reasonably anticipated'' is intended to be a broader and more flexible 
standard than under the prevailing practice exception, which permits 
late filing only in the event of an ``unanticipated emergency.'' 
Depending on the particular circumstances, delays occasioned by adverse 
weather conditions, changes in commercial requirements, changes in fish 
migration patterns, or other unforeseen circumstances may be sufficient 
to file less than 30 days in advance.
    The regulations provide that the Department review an attestation 
only to ensure that it is completed properly, that it is accompanied by 
the required documentation specified in the regulations, and that the 
documentation is not, on its face, inconsistent with the attestation.
Level of Federal Review of Attestations
    The Department has determined that the general approach to its 
review of employer attestations under the prevailing practice exception 
shall apply to attestations filed under the Alaska exception. The 
Department will review an attestation to ensure that it has been filed 
at least 30 days prior to the first performance of the longshore 
activity (or anytime up to 24 hours before the first performance of the 
activity, upon a showing that the employer could not have reasonably 
anticipated the need to file an attestation for that location at that 
time), that it is completed properly, that it has the appropriate 
accompanying documentation, and that the documentation is not, on its 
face, inconsistent with the attestation. In addition, the Department 
will review attestations to determine the following: (1) Whether the 
Administrator, Wage and Hour Division, DOL, has advised ETA that it has 
issued a cease and desist order currently in effect that would affect 
the attesting employer and particular location; (2) whether the 
Administrator has advised ETA of a determination that an employer has 
misrepresented or failed to comply with an attestation previously 
submitted and accepted for filing, requiring the Attorney General to 
bar the employer from entry to any U.S. port for up to one year; and 
(3) whether the Administrator has advised ETA that the employer has 
failed to comply with any penalty or remedy assessed.
Appeals Process
    The regulations do not include an administrative appeal process for 
attestations during the filing phase under the Alaska exception. When 
an attestation is returned because it is untimely, improperly 
completed, or lacking proper documentation, an employer may resubmit 
another attestation to the Department. Attestations which have been 
accepted by ETA may be objected to by an aggrieved party through the 
complaint process in subpart G, and procedures for investigation, 
hearing, and appeal are provided therein. The Department believes that 
this approach is consistent with the statute's intent for a streamlined 
attestation filing process and a complaint-driven enforcement system 
for the statute's requirements.

C. Attestation Elements

Bona-fide Request for United States Longshore Workers
    An employer or its agent filing an attestation under the Alaska 
exception must attest that it will make a bona fide request for 
dispatch of United States longshore workers who, by industry standards 
in the State of Alaska, including safety considerations, are qualified 
and available in sufficient numbers to perform the longshore activity 
at the particular time and location. Such requests must be directed to 
contract stevedoring companies and operators of private docks at which 
the employer intends to use longshore workers. Wherever two or more 
contract stevedoring companies have signed a joint collective 
bargaining agreement with a single qualified labor organization, the 
employer need request longshore workers from only one of such contract 
stevedoring companies. Qualified labor organizations are those which 
have been recognized as exclusive bargaining representatives of United 
States longshore workers within the meaning of the National Labor 
Relations Act (29 U.S.C. 141 et seq.) and which make available or 
intend to make available longshore workers to the particular location 
where the longshore work is to be performed. An employer is not 
required to request dispatch of United States longshore workers from 
contract stevedoring companies or private dock operators which do not 
meet the requirements of section 32 of the Longshore and Harbor 
Workers' Compensation Act (33 U.S.C. 932) or, in the case of contract 
stevedoring companies, which are not licensed to do business in the 
State of Alaska. Evidence of coverage is a copy of the DOL Office of 
Workers' Compensation Programs (OWCP) Certificate of Compliance, which 
is maintained by the contract stevedoring company or private dock 
operator. Further, a request for dispatch from a private dock operator 

[[Page 3953]]
need only be made for longshore work to be performed at that dock.
    Employers are not required to request dispatch of United States 
longshore workers from any party which has notified the employer in 
writing that it does not intend to dispatch workers to the location at 
which longshore work is to be performed. If a party that has provided 
such notice subsequently informs the employer in writing that it is 
prepared to provide workers, the employer's obligations to that party 
to request dispatch of, and employ qualified United States longshore 
workers made available in sufficient numbers, recommence 60 days from 
the employer's receipt of the notice.
Employment of United States Longshore Workers
    An employer or its agent must attest that it will employ all United 
States longshore workers dispatched in response to a request made under 
the first attestation element who are qualified and available in 
sufficient numbers and who are needed to perform the longshore activity 
at the particular time and location attested to.
    This attestation element also specifies that employers will not be 
required to hire less than full work units of United States longshore 
workers nor to provide overnight accommodations for the workers. The 
regulations provide that ``full work unit'' means the full complement 
of longshore workers needed to perform the longshore activity, as 
determined by industry standards in the State of Alaska, including 
safety considerations. Where the makeup of a full work unit is covered 
by one or more collective bargaining agreements in effect at the time 
and location where longshore work is to be performed, the provisions of 
such agreements shall be deemed to be in conformance with industry 
standards in the State of Alaska. This element also states the 
conditions under which employers will be required to provide 
transportation from the point of embarkation to the vessel on which 
longshore work is to be performed. Specifically, there is a thirty-
minute travel time limit and a five-mile travel distance limit except 
in Klawock/Craig and Wide Bay, Alaska, where, due to the remoteness of 
these areas, the travel limits are extended to forty-five minutes and 
seven and one-half miles, respectively. Further, an employer is not 
required to provide transportation, even if the vessel is within the 
specified time and distance limitations from the point of embarkation, 
unless surface transportation is available and such transportation may 
be safely accomplished. If a vessel where longshore work is to be 
performed is beyond the specified time and distance limitations from 
the point of embarkation, the employer is still obligated to hire any 
qualified U.S. longshore worker who is capable of getting to the vessel 
where the longshore work is to be performed at his or her own expense, 
even though the specified time and/or distance limitations are 
exceeded, but is not required to provide such transportation nor 
reimburse the worker for expenses incurred in getting to and from the 
vessel.
Election
    An employer filing an attestation under the Alaska exception must 
attest that the use of alien crewmembers to perform longshore 
activities will not be intended or designed to influence an election of 
a bargaining representative for workers in the State of Alaska.
Notice
    Lastly, an employer of alien crewmembers must attest that at the 
time of filing the attestation, notice of the filing has been provided 
to: (1) Labor organizations which have been recognized as exclusive 
bargaining representatives of United States longshore workers within 
the meaning of the National Labor Relations Act (29 U.S.C. 141 et seq.) 
and which make available or intend to make available workers to the 
locations where the employer is attesting that the longshore work is to 
be performed; (2) contract stevedoring companies which are licensed to 
do business in the State of Alaska, meet the requirements of section 32 
of the Longshore and Harbor Workers' Compensation Act (33 U.S.C. 932), 
and which employ or intend to employ United States longshore workers at 
those locations; and (3) operators of private docks at which the 
employer intends to use longshore workers. The operators to whom 
provision of notice is required shall also meet the requirements of 
section 32 of the Longshore and Harbor Workers' Compensation Act (33 
U.S.C. 932).
    The required notices shall include a copy of the Form ETA 9033-A, 
shall state that the attestation with accompanying documentation has 
been filed and is available at the National office of ETA for review by 
interested parties, and shall explain where complaints can be filed 
with respect to employer attestations. Further, in the required notice, 
the employer shall request a copy of the Certificate of Compliance 
issued by the district director of the Office of Workers' Compensation 
Programs under section 37 of the Longshore and Harbor Workers' 
Compensation Act (33 U.S.C. 932) from contract stevedoring companies 
and private dock operators. The employer's obligations to request 
dispatch of and employ qualified United States longshore workers from 
any party shall commence upon receipt of the Certificate of Compliance.
    Finally, the Department periodically shall publish in the Federal 
Register a list of employers who have submitted attestations under the 
Alaska exception.

D. Automated Vessel Exception

    The INA provides that longshore work consisting of the use of an 
automated self-unloading conveyor belt or vacuum- actuated system on a 
vessel shall continue to be governed by the prevailing practice 
exception and Departmental regulations thereunder at 20 CFR 655.520 and 
29 CFR 506.520. If, however, it is determined that an attestation is 
required for longshore work consisting of the use of automated 
equipment, i.e., because the Administrator has determined, pursuant to 
a complaint, that it is not the prevailing practice to use alien 
crewmembers to perform the longshore activity(ies) through the use of 
the automated equipment, or was during a strike or lockout or intended 
to influence an election of a bargaining representative for workers in 
the local port, or if the Administrator issues a cease and desist order 
against use of the automated equipment without such attestation, the 
required attestation shall be filed by the employer under the Alaska 
exception and not under the prevailing practice exception. The amended 
INA provides that the prevailing practice exception no longer applies 
in the case of longshore work to be performed at a particular location 
in the State of Alaska.

IV. Complaints, Investigations, and Dispositions

    The INA provides that the Secretary shall establish complaint, 
investigation, and hearing procedures and authorizes the Secretary to 
issue cease and desist orders against employers. The Secretary's 
enforcement responsibilities are assigned to the Administrator, Wage 
and Hour Division, of the Department's Employment Standards 
Administration (ESA).

A. Complaint, Investigation, and Hearing

    The INA provides that the existing process for the receipt, 
investigation, and disposition of complaints at section 258(c)(4) of 
the INA shall apply to the use of alien crewmembers to perform 

[[Page 3954]]
longshore work at locations in the State of Alaska. Therefore, 
enforcement of attestations filed under the Alaska exception will be 
conducted in accordance with regulations currently in place for 
attestations filed under the prevailing practice exception.
    Section 258(c)(4) of the INA requires that the Secretary establish 
a system to conduct investigations where a complaint presents there is 
reasonable cause to believe that an attesting employer failed to meet a 
condition attested to or misrepresented a material fact in its 
attestation, or that a non-attesting employer claiming the automated 
vessel exception was not qualified for the exception because the 
performance of the associated longshore activity does not prevail in 
the port. The regulations provide that the Wage and Hour Administrator 
may conduct investigations of potential violations of the law only 
pursuant to a complaint. The investigative process is to be completed 
and a determination issued in a 180-day period, or a longer period for 
good cause shown. Any aggrieved person may file a complaint.
    The regulations provide that, in investigating an attesting 
employer, the Administrator shall consider the employer's statutory 
burden to present and retain facts and evidence to show the matters 
attested to. The regulations also require that the employer cooperate 
in the investigation and take no retaliatory action against persons who 
file complaints, assist in the investigation, or participate in the 
administrative proceedings.

B. Administrative Law Judge Hearing and Discretionary Review by the 
Secretary

    Section 258(c)(4)(D) of the INA requires that the Secretary provide 
interested parties an opportunity for a hearing within 60 days of the 
date of the investigative determination. Because of this compressed 
timeframe, the regulations require that a request for hearing be filed 
directly with the Chief Administrative Law Judge no later than 15 days 
from the date of the Administrator's determination. Further, the 
regulations incorporate the statutory imposition of the burden of proof 
on the attesting employer to establish the truth of the attestation 
elements.
    An opportunity for discretionary review by the Secretary is 
afforded by the regulations, with short deadlines in accordance with 
the statutory intent for expedited dispositions. Any interested party 
may request such review, and the Secretary shall determine what 
matters, if any, will be reviewed.

C. Cease and Desist Order

    Section 258(c)(4)(C) of the INA authorizes the Secretary, at the 
request of a complainant, to issue a cease and desist order against an 
attesting employer or against a non-attesting employer claiming the 
automated vessel exception. The complainant's request may be made when 
the Secretary has determined there is reasonable cause to conduct an 
investigation. The INA specifies that, if a complainant requests such 
an order, the employer will be notified and given 14 days within which 
to respond. The Secretary is then required to determine whether the 
preponderance of the evidence submitted supports the complainant's 
position and, if it does, to order that the employer cease and desist 
the activity(ies) at issue. The order remains in effect throughout the 
hearing process for the attesting employer; for the non-attesting 
employer claiming the automated vessel exception, the order remains in 
effect throughout the hearing process unless ETA accepts for filing an 
attestation from that employer for the activity and location which the 
cease and desist order affects.
    The regulations provide that the complainant who desires a cease 
and desist order must submit two complete copies of the request and the 
evidence to substantiate the allegations (the second copy of the 
request will be provided to the employer). The Administrator's notice 
to the employer shall include copies of the complaint, the cease and 
desist order request and supporting evidence, and any other pertinent 
evidence from an investigation of the same or a closely related matter 
which the Administrator incorporates into the record. The employer, 
thus, will be fully informed as to the allegations and evidence. The 
Administrator's notice also shall specify that, during the 14-day 
response period specified by the INA, the Administrator will provide, 
at the employer's request, an opportunity for a meeting with a Wage and 
Hour Division official to give the employer's views on the evidence and 
issues. This meeting shall be informal, shall not be subject to any 
procedural rules, and shall include the complainant if the complainant 
so desires.
    The regulations specify that the cease and desist order will remain 
in effect unless and until the Administrator withdraws the order on the 
ground that the employer's position is determined to have been correct 
or a final determination is made which results in resolution of the 
matter under investigation, or--in the case of the automated vessel 
exception--an attestation relating to the longshore activity is 
accepted for filing by ETA.
    A complainant's request for a cease and desist order under the 
Alaska exception shall specify the location(s) at issue. The 
regulations provide that the Secretary is required to determine whether 
the preponderance of the evidence submitted supports the complainant's 
position and, if it does, to order that the employer cease and desist 
the activity(ies) at the location(s) at issue. Since an attestation 
under the Alaska exception may be valid for multiple locations, a cease 
and desist order pertaining to a particular location or locations shall 
not prejudice the validity of the attestation with respect to the 
performance of longshore activities which are covered by the 
attestation, but which are not at issue under the cease and desist 
order.

D. Penalties

    A violation of section 258 of the INA or the regulations thereunder 
by an attesting employer may result in the imposition of administrative 
remedy(ies), such as a civil money penalty not to exceed $5,000 per 
alien crewmember illegally employed. Upon notice of the violation(s), 
the Attorney General thereafter shall not permit the vessels owned or 
chartered by the employer to enter any port of the U.S. during a period 
of up to one year. Additionally, ETA will be notified and shall 
thereafter not accept any attestation from the employer for any 
activity(ies) at any U.S. port for one year (or for a shorter period, 
if such period is specified by INS).
    Upon the Department's final determination that an employer 
improperly claimed the automated vessel exemption, the Attorney General 
will be notified and shall thereafter require that, before using alien 
crewmembers, the employer must have on file with ETA an attestation for 
the activity(ies) and the port at issue. For locations in the State of 
Alaska such an attestation shall be made under the Alaska exception on 
Form ETA 9033-A. For other states, the attestation shall be made under 
the prevailing practice exception on Form ETA 9033.

V. Enforcement Matters

A. Clarification of Judicial Review

    To ensure that the regulation comports with recent supreme court 
caselaw, Sec. ______.650 of the rule has been amended to provide that a 
party may not seek judicial review of an administrative law judge's 
decision until such party has exhausted all administrative remedies. 

[[Page 3955]]


B. Debarment Timing (Notice to Attorney General)

    The statute requires that the Secretary notify the Attorney General 
(AG) of an employer's violation(s). Pursuant to Sec. ______.665(b) of 
the Interim Final rule, the Administrator is required to notify the AG 
and ETA of the final determination of a violation by an attesting 
employer or of the ineligibility of an employer for the automated 
vessel exception, upon the earliest of the following events:

    (1) Where the Administrator determines that there is a basis for 
a finding of violation by an attesting employer or a finding of 
nonapplicability of the automated vessel exception, and no timely 
request for hearing is made pursuant to Sec. ______.630 of this 
part;
    (2) Where, after a hearing, the administrative law judge issues 
a decision and order finding a violation by an attesting employer or 
finding inapplicable the automated vessel exception; or
    (3) Where the administrative law judge finds that there was no 
violation by an attesting employer or that the automated vessel 
exception does apply, and the Secretary, upon review, issues a 
decision pursuant to Sec. ______.655 of this part, holding that a 
violation was committed by an attesting employer or holding that the 
automated vessel exception does not apply.

    This regulatory construct creates a situation where the 
Administrator notifies the AG of a violation upon a finding of a 
violation or upon a finding that the automated vessel exception does 
not apply by an ALJ, even though such finding subsequently may be 
appealed to the Secretary and eventually overturned. An attesting 
employer thus could be debarred after a finding of violation by an ALJ, 
serve part or all of the debarment period, and subsequently be found by 
the Secretary not to have committed a violation. Similarly, if the ALJ 
finds that the employer is ineligible for the automated vessel 
exception, the employer could be required not to use alien crewmembers 
to perform longshore activities at the specified port without first 
filing an attestation with ETA, and subsequently be found to be 
eligible for the automated vessel exception by the Secretary.
    To correct this anomaly, Sec. ______.665(b) has been amended to 
require notification to the AG after a finding of a violation or a 
finding of nonapplicability of the automated vessel exception by an ALJ 
only under the following circumstances: (a) where there is no appeal 
from the ALJ's finding to the Secretary; (b) where, upon appeal, the 
Secretary declines to review the ALJ's finding; and (c) where, upon 
review, the Secretary affirms the ALJ's finding.

VI. Summary

    The Department welcomes comments on these and any other issues 
addressed in the regulations and on any issues not addressed that 
commenters believe need to be addressed.

Regulatory Impact and Administrative Procedure

E.O. 12866:
    In accordance with Executive Order 12866, the Department of Labor 
has determined that this is not a significant regulatory action as 
defined in section 3(f) of the Order.
Regulatory Flexibility Act:
    The Department of Labor has notified the Chief Counsel for 
Advocacy, Small Business Administration, and made the certification 
pursuant to the Regulatory Flexibility Act at 5 U.S.C. 605(b), that the 
rule does not have a significant economic impact on a substantial 
number of small entities.
    Nevertheless, interested parties are requested to submit, as part 
of their comments on this rule, information on the potential economic 
impact of the rule.
    Absent a final rule for attestations under this program, employers 
are precluded from using alien crewmembers for longshore activity at a 
particular location in the State of Alaska unless the employer had a 
valid attestation for the location on file with ETA on the date of the 
Coast Guard Act's enactment. This program affects a limited class of 
individuals and entities in Alaska. The Department consulted with 
representatives of all relevant parties in the development of this 
interim final rule and, for good cause, has determined that issuance of 
a proposed rule is unnecessary. 5 U.S.C. 553(b)(B).
    Further, there is ongoing longshore work being performed off the 
coast of Alaska in connection with the fishing industry. Since delay in 
the issuance of an interim final rule precludes employers from filing 
attestations in Alaska in order to use the ``Alaska exception'', such 
employers may be encouraged by economic exigencies to utilize foreign 
crewmembers in longshore work illegally or to reflag their vessels to 
qualify for the reciprocity exception for vessels under the flags of 
countries which permit U.S. crewmembers to perform longshore work. 
Either of these actions by shippers would diminish employment 
opportunities for Alaskan stevedores, contrary to the purposes of the 
Act. Indeed, DOL has received information that further delay in 
implementing the Alaska exception could adversely impact the employment 
opportunities for Alaskan workers seeking longshore work. The 
Department, for good cause, has determined that this potential harm 
makes it impracticable and contrary to the public interest to delay 
implementation by publishing the rule as a proposed rule. 5 U.S.C. 
553(b)(B).
    Nevertheless, the Department is very interested in receiving 
comments on the interim final rule. These comments will be considered 
in the development of a final rule.

Catalog of Federal Domestic Assistance Number

    This program is not listed in the Catalog of Federal Domestic 
Assistance.

List Of Subjects

20 CFR Part 655

    Administrative practice and procedure, Agriculture, Aliens, 
Crewmembers, Employment, Enforcement, Fashion Models, Forest and Forest 
Products, Guam, Health professions, Immigration, Labor, Longshore work, 
Migrant labor, Nurse, Penalties, Registered nurse, Reporting and 
recordkeeping requirements, Specialty occupation, Students, Wages.

29 CFR Part 506

    Administrative practice and procedures, Aliens, Crewmembers, 
Employment, Enforcement, Immigration, Labor, Longshore work, Penalties, 
Reporting and recordkeeping requirements.

Text of the Joint Interim Final Rule

    For the reasons set forth in the common preamble, the text of the 
joint interim final rule as adopted by ETA and the Wage and Hour 
Division, ESA, and in this document appears below:

Subpart F--Attestations by Employers Using Alien Crewmembers for 
Longshore Activities in U.S. Ports

General Provisions

Sec.
______.500  Purpose, procedure and applicability of subparts F and G 
of this part.
______.501  Overview of responsibilities.
______.502  Definitions.
______.510  Employer attestations.
______.520  Special provisions regarding automated vessels.

Alaska Exception

______.530  Special provisions regarding the performance of 
longshore activities at locations in the State of Alaska.
______.531  Who may submit attestations for locations in Alaska?
______.532  Where and when should attestations be submitted for 
locations in Alaska? 

[[Page 3956]]

______.533  What should be submitted for locations in Alaska?
______.534  The first attestation element for locations in Alaska: 
Bona fide request for dispatch of United States longshore workers.
______.535  The second attestation element for locations in Alaska: 
Employment of United States longshore workers.
______.536  The third attestation element for locations in Alaska: 
No intention or design to influence bargaining representative 
election.
______.537  The fourth attestation element for locations in Alaska: 
Notice of filing.
______.538  Actions on attestations submitted for filing for 
locations in Alaska.
______.539  Effective date and validity of filed attestations for 
locations in Alaska.
______.540  Suspension or invalidation of filed attestations for 
locations in Alaska.
______.541  Withdrawal of accepted attestations for locations in 
Alaska.

Public Access

______.550  Public access.
Appendix A to Subpart F--U.S. Seaports

Subpart G--Enforcement of the Limitations Imposed on Employers Using 
Alien Crewmembers for Longshore Activities in U.S. Ports

Sec.
______.600  Enforcement authority of Administrator, Wage and Hour 
Division.
______.605  Complaints and investigative procedures.
______.610  Automated vessel exception to prohibition on utilization 
of alien crewmember(s) to perform longshore activity(ies) at a U.S. 
port.
______.615  Cease and desist order.
______.620  Civil money penalties and other remedies.
______.625  Written notice, service and Federal Register publication 
of Administrator's determination.
______.630  Request for hearing.
______.635  Rules of practice for administrative law judge 
proceedings.
______.640  Service and computation of time.
______.645  Administrative law judge proceedings.
______.650  Decision and order of administrative law judge.
______.655  Secretary's review of administrative law judge's 
decision.
______.660  Administrative record.
______.665  Notice to the Attorney General and the Employment and 
Training Administration.
______.670    Federal Register notice of determination of prevailing 
practice.

______.675  Non-applicability of the Equal Access to Justice Act.

Subpart F--Attestations by Employers Using Alien Crewmembers for 
Longshore Activities in U.S. Ports

General Provisions

Sec. ______.500  Purpose, procedure and applicability of subparts F and 
G of this part.

    (a) Purpose. (1) Section 258 of the Immigration and Nationality Act 
(``Act'') prohibits nonimmigrant alien crewmembers admitted to the 
United States on D-visas from performing longshore work at U.S. ports 
except in five specific instances:
    (i) Where the vessel's country of registration does not prohibit 
U.S. crewmembers from performing longshore work in that country's ports 
and nationals of a country (or countries) which does not prohibit U.S. 
crewmembers from performing longshore work in that country's ports hold 
a majority of the ownership interest in the vessel, as determined by 
the Secretary of State (henceforth referred to as the ``reciprocity 
exception'');
    (ii) Where there is in effect in a local port one or more 
collective bargaining agreement(s), each covering at least thirty 
percent of the longshore workers, and each permitting the activity to 
be performed under the terms of such agreement(s);
    (iii) Where there is no collective bargaining agreement covering at 
least thirty percent of the longshore workers at the particular port 
and an attestation with accompanying documentation has been filed with 
the Department of Labor attesting that, among other things, the use of 
alien crewmembers to perform a particular activity of longshore work is 
permitted under the prevailing practice of the particular port 
(henceforth referred to as the ``prevailing practice exception'');
    (iv) Where the longshore work is to be performed at a particular 
location in the State of Alaska and an attestation with accompanying 
documentation has been filed with the Department of Labor attesting 
that, among other things, before using alien crewmembers to perform the 
activity specified in the attestation, the employer will make a bona 
fide request for and employ United States longshore workers who are 
qualified and available in sufficient numbers from contract stevedoring 
companies, labor organizations recognized as exclusive bargaining 
representatives of United States longshore workers, and private dock 
operators (henceforth referred to as the ``Alaska exception''); or
    (v) Where the longshore work involves an automated self-unloading 
conveyor belt or vacuum-actuated system on a vessel and the 
Administrator has not previously determined that an attestation must be 
filed pursuant to this part as a basis for performing those functions 
(henceforth referred to as the ``automated vessel exception'').
    (2) The term ``longshore work'' does not include the loading or 
unloading of hazardous cargo, as determined by the Secretary of 
Transportation, for safety and environmental protection. The Department 
of Justice, through the Immigration and Naturalization Service (INS), 
determines whether an employer may use alien crewmembers for longshore 
work at U.S. ports. In those cases where an employer must file an 
attestation in order to perform such work, the Department of Labor 
shall be responsible for accepting the filing of such attestations. 
Subpart F of this part sets forth the procedure for filing attestations 
with the Department of Labor for employers proposing to use alien 
crewmembers for longshore work at U.S. ports under the prevailing 
practice exception, the Alaska exception, and where it has been 
determined that an attestation is required under the automated vessel 
exception listed in paragraph (a)(1)(iv) of this section. Subpart G of 
this part sets forth complaint, investigation, and penalty provisions 
with respect to such attestations.
    (b) Procedure. (1) Under the prevailing practice exception in sec. 
258(c) of the Act, and in those cases where it has been determined that 
an attestation is required under the automated vessel exception for 
longshore work to be performed at locations other than in the State of 
Alaska, the procedure involves filing an attestation with the 
Department of Labor attesting that:
    (i) The use of alien crewmembers for a particular activity of 
longshore work is the prevailing practice at the particular port;
    (ii) The use of alien crewmembers is not during a strike or lockout 
nor designed to influence the election of a collective bargaining 
representative; and
    (iii) Notice of the attestation has been provided to the bargaining 
representative of longshore workers in the local port, or, where there 
is none, notice has been provided to longshore workers employed at the 
local port. 

[[Page 3957]]

    (2) Under the automated vessel exception in sec. 258(c) of the Act, 
no attestation is required in cases where longshore activity consists 
of the use of an automated self-unloading conveyor belt or vacuum-
actuated system on a vessel. The legislation creates a rebuttable 
presumption that the use of alien crewmembers for the operation of such 
automated systems is the prevailing practice. In order to overcome such 
presumption, it must be shown by the preponderance of the evidence 
submitted by any interested party, that the use of alien crewmembers 
for such activity is not the prevailing practice at the particular 
port, that it is during a strike or lockout, or that it is intended or 
designed to influence an election of a bargaining representative for 
workers in the local port.
    (3) Under the Alaska exception in sec. 258(d) of the Act, and in 
those cases where it has been determined that an attestation is 
required under the automated vessel exception consisting of the use of 
such equipment for longshore work to be performed in the State of 
Alaska, the procedure involves filing an attestation with the 
Department of Labor attesting that:
    (i) The employer will make a bona fide request for United States 
longshore workers who are qualified and available in sufficient numbers 
to perform the activity at the particular time and location from the 
parties to whom notice has been provided under paragraph (b)(3)(iv) (B) 
and (C) of this section, except that:
    (A) Wherever two or more contract stevedoring companies which meet 
the requirements of section 32 of the Longshore and Harbor Workers' 
Compensation Act (33 U.S.C. 932) have signed a joint collective 
bargaining agreement with a single labor organization recognized as an 
exclusive bargaining representative of United States longshore workers 
within the meaning of the National Labor Relations Act (29 U.S.C. 141 
et seq.), the employer may request longshore workers from only one such 
contract stevedoring company, and
    (B) A request for longshore workers to an operator of a private 
dock may be made only for longshore work to be performed at that dock 
and only if the operator meets the requirements of section 32 of the 
Longshore and Harbor Workers' Compensation Act (33 U.S.C. 932);
    (ii) The employer will employ all United States longshore workers 
made available in response to the request made pursuant to paragraph 
(b)(3)(i) of this section who are qualified and available in sufficient 
numbers and who are needed to perform the longshore activity at the 
particular time and location attested to;
    (iii) The use of alien crewmembers for such activity is not 
intended or designed to influence and election of a bargaining 
representative for workers in the State of Alaska; and
    (iv) Notice of the attestation has been provided to:
    (A) Labor organizations which have been recognized as exclusive 
bargaining representatives of United States longshore workers within 
the meaning of the National Labor Relations Act (29 U.S.C. 141 et seq.) 
and which make available or intend to make available workers to the 
particular location where the longshore work is to be performed;
    (B) Contract stevedoring companies which employ or intend to employ 
United States longshore workers at that location; and
    (C) Operators of private docks at which the employer will use 
longshore workers.
    (c) Applicability. Subparts F and G of this part apply to all 
employers who seek to employ alien crewmembers for longshore work at 
U.S. ports under the prevailing practice exception, to all employers 
who seek to employ alien crewmembers for longshore work at locations in 
the State of Alaska under the Alaska exception, to all employers 
claiming the automated vessel exception, and to those cases where it 
has been determined that an attestation is required under the automated 
vessel exception.


Sec. ________.501  Overview of responsibilities.

    This section provides a context for the attestation process, to 
facilitate understanding by employers that may seek to employ alien 
crewmembers for longshore work under the prevailing practice exception, 
under the Alaska exception, and in those cases where an attestation is 
necessary under the automated vessel exception.
    (a) Department of Labor's responsibilities. The United States 
Department of Labor (DOL) administers the attestation process. Within 
DOL, the Employment and Training Administration (ETA) shall have 
responsibility for setting up and operating the attestation process; 
the Employment Standards Administration's Wage and Hour Division shall 
be responsible for investigating and resolving any complaints filed 
concerning such attestations.
    (b) Employer attestation responsibilities. (1) Each employer 
seeking to use alien crewmembers for longshore work at a local U.S. 
port pursuant to the prevailing practice exception or where an 
attestation is required under the automated vessel exception for 
longshore work to be performed at locations other than in the State of 
Alaska shall, as the first step, submit an attestation on Form ETA 
9033, as described in Sec. ________.510 of this part, to ETA at the 
address set forth at Sec. ________.510(b) of this part. If ETA accepts 
the attestation for filing, pursuant to Sec. ________.510 of this part, 
ETA shall return the cover form of the accepted attestation to the 
employer, and, at the same time, shall provide notice of the filing to 
the Immigration and Naturalization Service (INS) office having 
jurisdiction over the port where longshore work will be performed.
    (2) Each employer seeking to use alien crewmembers for longshore 
work at a particular location in the State of Alaska pursuant to the 
Alaska exception or where an attestation is required under the 
automated vessel exception for longshore work to be performed at a 
particular location in Alaska shall submit, as a first step, an 
attestation on Form ETA 9033-A, as described in Sec. ________.533 of 
this part, to ETA at the address of the Seattle regional office as set 
forth at Sec. ________.532 of this part. The address appears in the 
instructions to Form ETA 9033-A. ETA shall return the cover form of the 
accepted attestation to the employer, and, at the same time, shall 
provide notice of the filing to the INS office having jurisdiction over 
the location where longshore work will be performed.
    (c) Complaints. Complaints concerning misrepresentation in the 
attestation, failure of the employer to carry out the terms of the 
attestation, or complaints that an employer is required to file an 
attestation under the automated vessel exception, may be filed with the 
Wage and Hour Division, according to the procedures set forth in 
subpart G of this part. Complaints of ``misrepresentation'' may include 
assertions that an employer has attested to the use of alien 
crewmembers only for a particular activity of longshore work and has 
thereafter used such alien crewmembers for another activity of 
longshore work. If the Division determines that the complaint presents 
reasonable cause to warrant an investigation, the Division shall then 
investigate, and, where appropriate, after an opportunity for a 
hearing, assess sanctions and penalties. Subpart G of this part further 
provides that interested parties may obtain an administrative law judge 
hearing on the Division's determination after an investigation and may 
seek the Secretary's review of the 

[[Page 3958]]
administrative law judge's decision. Subpart G of this part also 
provides that a complainant may request that the Wage and Hour 
Administrator issue a cease and desist order in the case of either 
alleged violation(s) of an attestation or longshore work by alien 
crewmember(s) employed by an employer allegedly not qualified for the 
claimed automated vessel exception. Upon the receipt of such a request, 
the Division shall notify the employer, provide an opportunity for a 
response and an informal meeting, and then rule on the request, which 
shall be granted if the preponderance of the evidence submitted 
supports the complainant's position.


Sec. ________.502  Definitions.

    For the purposes of subparts F and G of this part:
    Accepted for filing means that a properly completed attestation on 
Form ETA 9033, including accompanying documentation for each of the 
requirements in Sec. ________.510 (d) through (f) of this part, or a 
properly completed attestation on Form ETA 9033-A, including 
accompanying documentation for the requirement in Sec. ________.537 of 
this part in the case of an attestation under the Alaska exception, 
submitted by the employer or its designated agent or representative has 
been received and filed by the Employment and Training Administration 
of the Department of Labor (DOL). (Unacceptable attestations under the 
prevailing practice exception are described at Sec. ________.510(g)(2) 
of this part. Unacceptable attestations under the Alaska exception are 
described at Sec. ________.538(b) of this part.)
    Act and INA mean the Immigration and Nationality Act, as amended, 8 
U.S.C. 1101 et seq.
    Activity means any activity relating to loading cargo; unloading 
cargo; operation of cargo-related equipment; or handling of mooring 
lines on the dock when a vessel is made fast or let go.
    Administrative law judge means an official appointed pursuant to 5 
U.S.C. 3105.
    Administrator means the Administrator of the Wage and Hour 
Division, Employment Standards Administration, Department of Labor, or 
such authorized representatives as may be designated to perform any of 
the functions of the Administrator under subparts F and G of this part.
    Attestation means documents submitted by an employer attesting to 
and providing accompanying documentation to show that, under the 
prevailing practice exception, the use of alien crewmembers for a 
particular activity of longshore work at a particular U.S. port is the 
prevailing practice, and is not during a strike or lockout nor intended 
to influence an election of a bargaining representative for workers; 
and that notice of the attestation has been provided to the bargaining 
representative, or, where there is none, to the longshore workers at 
the local port. Under the Alaska exception, such documents shall show 
that, before using alien crewmen to perform longshore work, the 
employer will make bona fide requests for dispatch of United States 
longshore workers who are qualified and available in sufficient numbers 
and that the employer will employ all such United States longshore 
workers in response to such a request for dispatch; that the use of 
alien crewmembers is not intended or designed to influence an election 
of a bargaining representative for workers in the State of Alaska; and 
that notice of the attestation has been provided to labor organizations 
recognized as exclusive bargaining representatives of United States 
longshore workers, contract stevedoring companies, and operators of 
private docks at which the employer will use longshore workers.
    Attesting employer means an employer who has filed an attestation.
    Attorney General means the chief official of the U.S. Department of 
Justice or the Attorney General's designee.
    Automated vessel means a vessel equipped with an automated self-
unloading conveyor belt or vacuum-actuated system which is utilized for 
loading or unloading cargo between the vessel and the dock.
    Certifying Officer means a Department of Labor official who makes 
determinations about whether or not to accept attestations:
    (1) A regional Certifying Officer designated by a Regional 
Administrator, Employment and Training Administration (RA) makes such 
determinations in a regional office of the Department;
    (2) A national Certifying Officer makes such determinations in the 
national office of the USES.
    Chief, Division of Foreign Labor Certifications, USES means the 
chief official of the Division of Foreign Labor Certifications within 
the United States Employment Service, Employment and Training 
Administration, Department of Labor, or the designee of the Chief, 
Division of Foreign Labor Certifications, USES.
    Chief Administrative Law Judge means the chief official of the 
Office of the Administrative Law Judges of the Department of Labor or 
the Chief Administrative Law Judge's designee.
    Contract stevedoring company means a stevedoring company which is 
licensed to do business in the State of Alaska and which meets the 
requirements of section 32 of the Longshore and Harbor Workers' 
Compensation Act (33 U.S.C. 932).
    Crewmember means any nonimmigrant alien admitted to the United 
States to perform services under sec. 101(a)(15)(D)(i) of the Act (8 
U.S.C. 1101(a)(15)(D)(i)).
    Date of filing means the date an attestation is accepted for filing 
by ETA.
    Department and DOL mean the United States Department of Labor.
    Director means the chief official of the United States Employment 
Service (USES), Employment and Training Administration, Department of 
Labor, or the Director's designee.
    Division means the Wage and Hour Division of the Employment 
Standards Administration, DOL.
    Employer means a person, firm, corporation, or other association or 
organization, which suffers or permits, or proposes to suffer or 
permit, alien crewmembers to perform longshore work at a port within 
the U.S. For purposes of Secs. ________.530 through ________.541, which 
govern the performance of longshore activities by alien crewmembers 
under the Alaska exception, ``employer'' includes any agent or 
representative designated by the employer.
    Employment and Training Administration (ETA) means the agency 
within the Department of Labor (DOL) which includes the United States 
Employment Service (USES).
    Employment Standards Administration (ESA) means the agency within 
the Department of Labor (DOL) which includes the Wage and Hour 
Division.
    Immigration and Naturalization Service (INS) means the component of 
the Department of Justice which makes the determination under the Act 
on whether an employer of alien crewmembers may use such crewmembers 
for longshore work at a U.S. port.
    Lockout means a labor dispute involving a work stoppage, wherein an 
employer withholds work from its employees in order to gain a 
concession from them.
    Longshore work means any activity (except safety and environmental 
protection work as described in sec. 258(b)(2) of the Act) relating to 
the loading or unloading of cargo, the operation of cargo related 
equipment (whether or not integral to the vessel), 

[[Page 3959]]
or the handling of mooring lines on the dock when the vessel is made 
fast or let go, in the United States or the coastal waters thereof.
    Longshore worker means a U.S. worker who performs longshore work.
    Port means a geographic area, either on a seacoast, lake, river or 
any other navigable body of water, which contains one or more publicly 
or privately owned terminals, piers, docks, or maritime facilities, 
which is commonly thought of as a port by other government maritime-
related agencies, such as the Maritime Administration. U.S. ports 
include, but are not limited to, those listed in Appendix A to this 
subpart.
    Qualified and available in sufficient numbers means the full 
complement of qualified longshore workers needed to perform the 
longshore activity, as determined by industry standards in the State of 
Alaska, including safety considerations.
    Regional Administrator, Employment and Training Administration (RA) 
means the chief official of the Employment and Training Administration 
(ETA) in a Department of Labor (DOL) regional office.
    Secretary means the Secretary of Labor or the Secretary's designee.
    Strike means a labor dispute wherein employees engage in a 
concerted stoppage of work (including stoppage by reason of the 
expiration of a collective-bargaining agreement) or engage in any 
concerted slowdown or other concerted interruption of operations.
    Unanticipated emergency means an unexpected and unavoidable 
situation, such as one involving severe weather conditions, natural 
disaster, or mechanical breakdown, where cargo must be immediately 
loaded on, or unloaded from, a vessel.
    United States is defined at 8 U.S.C. 1101(a)(38).
    United States Employment Service (USES) means the agency of the 
Department of Labor, established under the Wagner-Peyser Act, which is 
charged with administering the national system of public employment 
offices.
    United States (U.S.) worker means a worker who is a U.S. citizen, a 
U.S. national, a permanent resident alien, or any other worker legally 
permitted to work indefinitely in the United States.


Sec. ________.510  Employer attestations.

    (a) Who may submit attestations? An employer (or the employer's 
designated U.S. agent or representative) seeking to employ alien 
crewmembers for a particular activity of longshore work under the 
prevailing practice exception shall submit an attestation, provided 
there is not in effect in the local port any collective bargaining 
agreement covering at least 30 percent of the longshore workers. An 
attestation is required for each port at which the employer intends to 
use alien crewmembers for longshore work. The attestation shall 
include: A completed Form ETA 9033, which shall be signed by the 
employer (or the employer's designated agent or representative); and 
facts and evidence prescribed in paragraphs (d) through (f) of this 
section. This Sec. ________.510 shall not apply in the case of 
longshore work performed at a particular location in the State of 
Alaska. The procedures governing the filing of attestations under the 
Alaska exception are set forth at Secs. ________.530 through 
________.541.
    (b) Where and when should attestations be submitted? (1) 
Attestations must be submitted, by U.S. mail, private carrier, or 
facsimile transmission to the U.S. Department of Labor ETA Regional 
Office(s) which are designated by the Chief, Division of Foreign Labor 
Certifications, USES. Attestations must be received and date-stamped by 
DOL at least 14 calendar days prior to the date of the first 
performance of the intended longshore activity, and shall be accepted 
for filing or returned by ETA in accordance with paragraph (g) of this 
section within 14 calendar days of the date received by ETA. An 
attestation which is accepted by ETA solely because it was not reviewed 
within 14 days is subject to subsequent invalidation pursuant to 
paragraph (i) of this section. Every employer filing an attestation 
shall have an agent or representative with a United States address. 
Such address shall be clearly indicated on the Form ETA 9033. In order 
to ensure that an attestation has been accepted for filing prior to the 
date of the performance of the longshore activity, employers are 
advised to take mailing time into account to make sure that ETA 
receives the attestation at least 14 days prior to the first 
performance of the longshore activity.
    (2) Unanticipated Emergencies. ETA may accept for filing 
attestations received after the 14-day deadline when due to an 
unanticipated emergency, as defined in Sec. ________.502 of this part. 
When an employer is claiming an unanticipated emergency, it shall 
submit documentation to support such a claim. ETA shall then make a 
determination on the validity of the claim, and shall accept the 
attestation for filing or return it in accordance with paragraph (g) of 
this section. ETA shall in no case accept an attestation received later 
than the date of the first performance of the activity.
    (c) What should be submitted? (1) Form ETA 9033 with accompanying 
documentation. For each port, a completed and dated original Form ETA 
9033, or facsimile transmission thereof, containing the required 
attestation elements and the original signature of the employer (or the 
employer's designated agent or representative) shall be submitted, 
along with two copies of the completed, signed, and dated Form ETA 
9033. (If the attestation is submitted by facsimile transmission, the 
attestation containing the original signature shall be maintained at 
the U.S. business address of the employer's designated agent or 
representative). Copies of Form ETA 9033 are available at all 
Department of Labor ETA Regional Offices and at the National Office. In 
addition, the employer shall submit two sets of all facts and evidence 
to show compliance with each of the attestation elements as prescribed 
by the regulatory standards in paragraphs (d) through (f) of this 
section. In the case of an investigation pursuant to subpart G of this 
part, the employer shall have the burden of proof to establish the 
validity of each attestation. The employer shall maintain in its 
records at the office of its U.S. agent, for a period of at least 3 
years from the date of filing, sufficient documentation to meet its 
burden of proof, which shall at a minimum include the documentation 
described in this Sec. ________.510, and shall make the documents 
available to Department of Labor officials upon request.
    Whenever any document is submitted to a Federal agency or retained 
in the employer's records pursuant to this part, the document either 
shall be in the English language or shall be accompanied by a written 
translation into the English language certified by the translator as to 
the accuracy of the translation and his/her competency to translate.
    (2) Statutory precondition regarding collective bargaining 
agreements. (i) The employer may file an attestation only when there is 
no collective bargaining agreement in effect in the port covering 30 
percent or more of the longshore workers in the port. The employer 
shall attest on the Form ETA 9033 that no such collective bargaining 
agreement exists at the port at the time that the attestation is filed.
    (ii) The employer is not required to submit with the Form ETA 9033 
documentation substantiating that there is no collective bargaining 
agreement in effect in the port covering 30 percent or more of the 
longshore workers. If a complaint is filed which presents reasonable 
cause to believe that such an agreement exists, the Department shall 

[[Page 3960]]
conduct an investigation. In such an investigation, the employer shall 
have the burden of proving that no such collective bargaining agreement 
exists.
    (3) Ports for which attestations may be filed. Employers may file 
an attestation for a port which is listed in Appendix A (U.S. Seaports) 
to this subpart. Employers may also file an attestation for a 
particular location not in Appendix A to this subpart if additional 
facts and evidence are submitted with the attestation to demonstrate 
that the location is a port, meeting all of the criteria as defined by 
Sec. ________.502 of this part.
    (4) Attestation elements. The attestation elements referenced in 
paragraph (c)(1) of this section are mandated by sec. 258(c)(1)(B) of 
the Act (8 U.S.C. 1288(c)(1)(B)). Section 258(c)(1)(B) of the Act 
requires employers who seek to have alien crewmembers engage in a 
longshore activity to attest as follows:
    (i) The performance of the activity by alien crewmembers is 
permitted under the prevailing practice of the particular port as of 
the date of filing of the attestation;
    (ii) The use of the alien crewmembers for such activity is not 
during a strike or lockout in the course of a labor dispute, and is not 
intended or designed to influence an election of a bargaining 
representative for workers in the local port; and
    (iii) Notice of the attestation has been provided by the owner, 
agent, consignee, master, or commanding officer to the bargaining 
representative of longshore workers in the local port, or, where there 
is no such bargaining representative, notice has been provided to 
longshore workers employed at the local port.
    (d) The first attestation element: prevailing practice. For an 
employer to be in compliance with the first attestation element, it is 
required to have been the prevailing practice during the 12-month 
period preceding the filing of the attestation, for a particular 
activity of longshore work at the particular port to be performed by 
alien crewmembers. For each port, a prevailing practice can exist for 
any of four different types of longshore work: loading of cargo, 
unloading of cargo, operation of cargo-related equipment, or handling 
of mooring lines. It is thus possible that at a particular port it is 
the prevailing practice for alien crewmembers to unload vessels but not 
the prevailing practice to load them. An employer shall indicate on the 
attestation form which of the four longshore activities it is claiming 
is the prevailing practice for such work to be performed by alien 
crewmembers.
    (1) Establishing a prevailing practice.
    (i) In establishing that a particular activity of longshore work is 
the prevailing practice at a particular port, an employer shall submit 
facts and evidence to show that in the 12-month period preceding the 
filing of the attestation, one of the following conditions existed:
    (A) Over fifty percent of vessels docking at the port used alien 
crewmembers for the activity; or
    (B) Alien crewmembers made up over fifty percent of the workers in 
the port who engaged in the activity.
    (ii) Prevailing practice after Secretary of State determination of 
non-reciprocity. Section 258(d) of the Act provides a reciprocity 
exception (separate from the prevailing practice exception) to the 
prohibition on performance of longshore work by alien crewmembers in 
U.S. ports. However, this reciprocity exception becomes nonapplicable 
where the Secretary of State determines that, for a particular activity 
of longshore work, a particular country (by law, regulation, or 
practice) prohibits such activity by U.S. crewmembers in its ports. 
When the Secretary of State places a country on the non-reciprocity 
list (which means, for the purposes of this section, Prohibitions on 
longshore work by U.S. nationals; listing by country at 22 CFR 89.1), 
crewmembers on vessels from that country (that is, vessels that are 
registered in that country or vessels whose majority ownership interest 
is held by nationals of that country) are not permitted to perform 
longshore work in U.S. waters, absent applicability of some exception 
other than the reciprocity exception. The Secretary of State's 
determination has the following effects in the establishment of a 
prevailing practice for a particular longshore activity at a particular 
U.S. port for purposes of the prevailing practice exception.
    (A) An employer from any country, other than the country which is 
placed on the non-reciprocity list, may include the longshore 
activities performed by alien crewmembers on all vessels in 
establishing the prevailing practice for a particular longshore 
activity in a particular port.
    (B) An employer from a country which is placed on the non-
reciprocity list may file an attestation for the prevailing practice 
exception under the standards and requirements established in this 
subpart F (except as provided in paragraph (d)(1)(ii)(C) of this 
section), provided that the attestation is filed at least 12 months 
after the date on which the employer's country is placed on the list.
    (C) An employer from a country which is placed on the non-
reciprocity list may file an attestation pursuant to the prevailing 
practice exception earlier than 12 months from the date on which the 
employer's country is placed on the list, except that the following 
restrictions shall apply to such attestation:
    (1) The employer shall submit facts and evidence to show that, for 
the 12-month period preceding the date of the attestation, the use of 
alien crewmembers to perform a particular activity of longshore work 
was permitted by the prevailing practice in the port (as defined in 
paragraph (d)(1)(i) of this section) without considering or including 
such activity by crewmembers on vessels from the employer's country; or
    (2) The employer shall submit facts and evidence (including data on 
activities performed by crewmembers on vessels from the employer's 
country) to show that the use of alien crewmembers to perform a 
particular activity of longshore work was permitted by the prevailing 
practice in the port (as defined in paragraph (d)(1)(i) of this 
section) for one of two periods--
    (i) For the employer whose country has not previously been on the 
non-reciprocity list, the period is the continuous 12-month period 
prior to May 28, 1991 (the effective date of section 258 of the Act); 
or
    (ii) For the employer whose country was at some time on the non-
reciprocity list, but was subsequently removed from the non-reciprocity 
list and then restored to the non-reciprocity list (on one or more 
occasions), the period is the last continuous 12-month period during 
which the employer's country was not under the reciprocity exception 
(that is, was listed on the non-reciprocity list).
    (iii) For purposes of this paragraph (d)(1):
    (A) ``Workers in the port engaged in the activity'' means any 
person who performed the activity in any calendar day;
    (B) Vessels shall be counted each time they dock at the particular 
port):
    (C) Vessels exempt from section 258 of the INA for safety and 
environmental protection shall not be included in counting the number 
of vessels which dock at the port (see Department of Transportation 
Regulations); and
    (D) Automated vessels shall not be included in counting the number 
of vessels which dock at the port. For establishing a prevailing 
practice under 

[[Page 3961]]
the automated vessel exception see Sec. ________.520 of this part.
    (2) Documentation. In assembling the facts and evidence required by 
paragraph (d)(1) of this section, the employer may consult with the 
port authority which has jurisdiction over the local port, the 
collective bargaining representative(s) of longshore workers at the 
local port, other employers, or any other entity which is familiar with 
the practices at the port. Such documentation shall include a written 
summary of a survey of the experience of shipmasters who entered the 
local port in the previous year; or a letter, affidavit, or other 
written statement from an appropriate local port authority regarding 
the use of alien crewmembers to perform the longshore activity at the 
port in the previous year; or other documentation of comparable weight. 
Written statements from collective bargaining representatives and/or 
shipping agents with direct knowledge of practices regarding the use of 
alien crewmembers in the local port may also be pertinent. Such 
documentation shall accompany the Form ETA 9033, and any underlying 
documentation which supports the employer's burden of proof shall be 
maintained in the employer's records at the office of the U.S. agent as 
required by paragraph (c)(1) of this section.
    (e) The second attestation element: no strike or lockout; no 
intention or design to influence bargaining representative election. 
(1) The employer shall attest that, at the time of submitting the 
attestation, there is not a strike or lockout in the course of a labor 
dispute covering the employer's activity, and that it will not use 
alien crewmembers during a strike or lockout after filing the 
attestation. The employer shall also attest that the employment of such 
aliens is not intended or designed to influence an election for a 
bargaining representative for workers in the local port. Labor disputes 
for purposes of this attestation element relate only to those involving 
longshore workers at the port of intended employment. This attestation 
element applies to strikes and lockouts and elections of bargaining 
representatives at the local port where the use of alien crewmembers 
for longshore work is intended.
    (2) Documentation. As documentation to substantiate the requirement 
in paragraph (e)(1) of this section, an employer may submit a statement 
of the good faith efforts made to determine whether there is a strike 
or lockout at the particular port, as, for example, by contacting the 
port authority or the collective bargaining representative for 
longshore workers at the particular port.
    (f) The third attestation element: notice of filing. The employer 
of alien crewmembers shall attest that at the time of filing the 
attestation, notice of filing has been provided to the bargaining 
representative of the longshore workers in the local port, or, where 
there is no such bargaining representative, notice of the filing has 
been provided to longshore workers employed at the local port through 
posting in conspicuous locations and through other appropriate means.
    (1) Notification of bargaining representative. No later than the 
date the attestation is received by DOL to be considered for filing, 
the employer of alien crewmembers shall notify the bargaining 
representative (if any) of longshore workers at the local port that the 
attestation is being submitted to DOL. The notice shall include a copy 
of the Form ETA 9033, shall state the activity(ies) for which the 
attestation is submitted, and shall state in that notice that the 
attestation and accompanying documentation are available at the 
national office of ETA for review by interested parties. The employer 
may have its owner, agent, consignee, master, or commanding officer 
provide such notice. Notices under this paragraph (f)(1) shall include 
the following statement: ``Complaints alleging misrepresentation of 
material facts in the attestation and/or failure to comply with the 
terms of the attestation may be filed with any office of the Wage and 
Hour Division of the United States Department of Labor.''
    (2) Posting notice where there is no bargaining representative. If 
there is no bargaining representative of longshore workers at the local 
port when the employer submits an attestation to ETA, the employer 
shall provide written notice to the port authority for distribution to 
the public on request. In addition, the employer shall post one or more 
written notices at the local port, stating that the attestation with 
accompanying documentation has been submitted, the activity(ies) for 
which the attestation has been submitted, and that the attestation and 
accompanying documentation are available at the national office of ETA 
for review by interested parties. Such posted notice shall be clearly 
visible and unobstructed, and shall be posted in conspicuous places 
where the longshore workers readily can read the posted notice on the 
way to or from their duties. Appropriate locations for posting such 
notices include locations in the immediate proximity of mandatory Fair 
Labor Standards Act wage and hour notices and Occupational Safety and 
Health Act occupational safety and health notices. The notice shall 
include a copy of the Form ETA 9033 filed with DOL, shall provide 
information concerning the availability of supporting documents for 
examination at the national office of ETA, and shall include the 
following statement: ``Complaints alleging misrepresentation of 
material facts in the attestation and/or failure to comply with the 
terms of the attestation may be filed with any office of the Wage and 
Hour Division of the United States Department of Labor.''
    (3) Documentation. The employer shall provide a statement setting 
forth the name and address of the person to whom the notice was 
provided and where and when the notice was posted and shall attach a 
copy of the notice.
    (g) Actions on attestations submitted for filing. Once an 
attestation has been received from an employer, a determination shall 
be made by the regional Certifying Officer whether to accept the 
attestation for filing or return it. The regional Certifying Officer 
may request additional explanation and/or documentation from the 
employer in making this determination. An attestation which is properly 
filled out and which includes accompanying documentation for each of 
the requirements set forth at Sec. ________.510(d) through (f) shall be 
accepted for filing by ETA on the date it is signed by the regional 
Certifying Officer unless it falls within one of the categories set 
forth in paragraph (g)(2) of this section. Once an attestation is 
accepted for filing, ETA shall then follow the procedures set forth in 
paragraph (g)(1) of this section. Upon acceptance of the employer's 
attestation by ETA, the attestation and accompanying documentation will 
be forwarded and shall be available in a timely manner for public 
examination at the ETA national office. ETA shall not consider 
information contesting an attestation received by ETA prior to the 
determination to accept or return the attestation for filing. Such 
information shall not be made part of ETA's administrative record on 
the attestation, but shall be referred to ESA to be processed as a 
complaint pursuant to subpart G of this part if the attestation is 
accepted by ETA for filing.
    (1) Acceptance. (i) If the attestation is properly filled out and 
includes accompanying documentation for each of the requirements at 
Sec. ________.510(d) through (f), and does not fall within one of the 
categories set forth at paragraph (g)(2) of this section, ETA shall 
accept the attestation for filing, provide notification to the INS 
office having jurisdiction over the port where longshore work will be 
performed, and 

[[Page 3962]]
return to the employer, or the employer's agent or representative at a 
U.S. address, one copy of the attestation form submitted by the 
employer, with ETA's acceptance indicated thereon. The employer may 
then use alien crewmembers for the particular activity of longshore 
work at the U.S. port cited in the attestation in accordance with INS 
regulations.
    (ii) DOL is not the guarantor of the accuracy, truthfulness or 
adequacy of an attestation accepted for filing.
    (2) Unacceptable attestations. ETA shall not accept an attestation 
for filing and shall return such attestation to the employer, or the 
employer's agent or representative at a U.S. address, when one of the 
following conditions exists:
    (i) When the Form ETA 9033 is not properly filled out. Examples of 
improperly filled out Form ETA 9033's include instances where the 
employer has neglected to check all the necessary boxes, or where the 
employer has failed to include the name of the port where it intends to 
use the alien crewmembers for longshore work, or where the employer has 
named a port that is not listed in Appendix A and has failed to submit 
facts and evidence to support a showing that the location is a port as 
defined by Sec. ________.502, or when the employer has failed to sign 
the attestation or to designate an agent in the United States;
    (ii) When the Form ETA 9033 with accompanying documentation is not 
received by ETA at least 14 days prior to the date of performance of 
the first activity indicated on the Form ETA 9033; unless the employer 
is claiming an unanticipated emergency, has included documentation 
which supports such claim, and ETA has found the claim to be valid;
    (iii) When the Form ETA 9033 does not include accompanying 
documentation for each of the requirements set forth at 
Sec. ________.510 (d) through (f);
    (iv) When the accompanying documentation required by paragraph (c) 
of this section submitted by the employer, on its face, is inconsistent 
with the requirements set forth at Sec. ________.510 (d) through (f). 
Examples of such a situation include instances where the Form ETA 9033 
pertains to one port and the accompanying documentation to another; 
where the Form ETA 9033 pertains to one activity of longshore work and 
the accompanying documentation obviously refers to another; or where 
the documentation clearly indicates that only thirty percent, instead 
of the required fifty percent, of the activity attested to is performed 
by alien crewmembers;
    (v) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, after an investigation pursuant to subpart G of this 
part, that the particular activity of longshore work which the employer 
has attested is the prevailing practice at a particular port, is not, 
in fact, the prevailing practice at the particular port;
    (vi) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, that a cease and desist order has been issued pursuant 
to subpart G of this part, with respect to the attesting employer's 
performance of the particular activity and port, in violation of a 
previously accepted attestation;
    (vii) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, after an investigation pursuant to subpart G of this 
part, that the particular employer has misrepresented or failed to 
comply with an attestation previously submitted and accepted for 
filing, but in no case for a period of more than one year after the 
date of the Administrator's notice and provided that INS has not 
advised ETA that the prohibition is in effect for a lesser period; or
    (viii) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, that the employer has failed to comply with any 
penalty, sanction, or other remedy assessed in a final agency action 
following an investigation by the Wage and Hour Division pursuant to 
subpart G of this part.
    (3) Resubmission. If the attestation is not accepted for filing 
pursuant to the categories set forth in paragraph (g)(2) of this 
section, ETA shall return to the employer, or the employer's agent or 
representative, at a U.S. address, the attestation form and 
accompanying documentation submitted by the employer. ETA shall notify 
the employer, in writing, of the reason(s) that the attestation is 
unacceptable. When an attestation is found to be unacceptable pursuant 
to paragraphs (g)(2) (i) through (iv) of this section, the employer may 
resubmit the attestation with the proper documentation. When an 
attestation is found to be unacceptable pursuant to paragraphs (g)(2) 
(v) through (viii) of this section and returned, such action shall be 
the final decision of the Secretary of Labor.
    (h) Effective date and validity of filed attestations. An 
attestation is filed and effective as of the date it is accepted and 
signed by the regional Certifying Officer. Such attestation is valid 
for the 12-month period beginning on the date of acceptance for filing, 
unless suspended or invalidated pursuant to subpart G of this part or 
paragraph (i) of this section. The filed attestation expires at the end 
of the 12-month period of validity.
    (i) Suspension or invalidation of filed attestations. Suspension or 
invalidation of an attestation may result from enforcement action(s) 
under subpart G of this part (i.e., investigation(s) conducted by the 
Administrator or cease and desist order(s) issued by the Administrator 
regarding the employer's misrepresentation in or failure to carry out 
its attestation); or from a discovery by ETA that it made an error in 
accepting the attestation because such attestation falls within one of 
the categories set forth in paragraph (g)(2) of this section.
    (1) Result of Wage and Hour Division action. Upon the determination 
of a violation under subpart G of this part, the Administrator shall, 
pursuant to Sec. ________.660(b), notify the Attorney General of the 
violation and of the Administrator's notice to ETA.
    (2) Result of ETA action. If, after accepting an attestation for 
filing, ETA finds that the attestation is unacceptable because it falls 
within one of the categories set forth at paragraph (g)(2) of this 
section, and as a result, ETA suspends or invalidates the attestation, 
ETA shall notify the Attorney General of such suspension or 
invalidation and shall return a copy of the attestation form to the 
employer, or the employer's agent or representative, at a U.S. address. 
ETA shall notify the employer, in writing, of the reason(s) that the 
attestation is suspended or invalidated. When an attestation is found 
to be suspended or invalidated pursuant to paragraphs (g)(2) (i) 
through (iv) of this section, the employer may resubmit the attestation 
with the proper documentation. When an attestation is suspended or 
invalidated because it falls within one of the categories in paragraphs 
(g)(2) (v) through (viii) of this section, such action shall be the 
final decision of the Secretary of Labor, except as set forth in 
subpart G of this part.
    (j) Withdrawal of accepted attestations. (1) An employer who has 
submitted an attestation which has been accepted for filing may 
withdraw such attestation at any time before the 12-month period of its 
validity terminates, unless the Administrator has found reasonable 
cause under subpart G to commence an investigation of the particular 
attestation. Such withdrawal may be advisable, for example, when the 
employer learns that the particular activity(ies) of longshore work 
which it has attested is the prevailing practice to perform with alien 
crewmembers may not, in fact, have been the prevailing 

[[Page 3963]]
practice at the particular port at the time of filing. Requests for 
such withdrawals shall be in writing and shall be directed to the 
regional Certifying Officer.
    (2) Withdrawal of an attestation shall not affect an employer's 
liability with respect to any failure to meet the conditions attested 
to which took place before the withdrawal, or for misrepresentations in 
an attestation. However, if an employer has not yet performed the 
particular longshore activity(ies) at the port in question, the 
Administrator will not find reasonable cause to investigate unless it 
is alleged, and there is reasonable cause to believe, that the employer 
has made misrepresentations in the attestation or documentation 
thereof, or that the employer has not in fact given the notice attested 
to.


(Approved by the Office of Management and Budget under Control No. 
1205-0309)


Sec. ________.520  Special provisions regarding automated vessels.

    In general, an attestation is not required in the case of a 
particular activity of longshore work consisting of the use of 
automated self-unloading conveyor belt or vacuum-actuated systems on a 
vessel. The legislation creates a rebuttable presumption that the use 
of alien crewmembers for the operation of such automated systems is the 
prevailing practice. In order to overcome such presumption, it must be 
shown by the preponderance of the evidence submitted by any interested 
party, that the use of alien crewmembers for such activity is not the 
prevailing practice. Longshore work involving the use of such equipment 
shall be exempt from the attestation requirement only if the activity 
consists of using that equipment. If the automated equipment is not 
used in the particular activity of longshore work, an attestation is 
required as described under Sec. ________.510 of this part if it is the 
prevailing practice in the port to use alien crewmembers for this work, 
except that in all cases, where an attestation is required for 
longshore work to be performed at a particular location in the State of 
Alaska, an employer shall file such attestation under the Alaska 
exception pursuant to Secs. ________.530 through ________.541 on Form 
ETA 9033-A. When automated equipment is used in the particular activity 
of longshore work, an attestation is required only if the Administrator 
finds, based on a preponderance of the evidence which may be submitted 
by any interested party, that the performance of the particular 
activity of longshore work is not the prevailing practice at the port, 
or was during a strike or lockout or intended to influence an election 
of a bargaining representative for workers in the local port, or if the 
Administrator issues a cease and desist order against use of the 
automated equipment without such attestation.
    (a) Procedure when attestation is required. If it is determined 
pursuant to subpart G of this part that an attestation is required for 
longshore work consisting of the use of automated equipment at a 
location other than in the State of Alaska, the employer shall comply 
with all the requirements set forth at Sec. ________.510 of this part 
except paragraph (d) of Sec. ________.510. In lieu of complying with 
Sec. ________.510(d) of this part, the employer shall comply with 
paragraph (b) of this section. If it is determined pursuant to subpart 
G of this part that an attestation is required for longshore work 
consisting of the use of automated equipment at a particular location 
in the State of Alaska, the employer shall comply with all the 
requirements set forth at Secs. ________.530 through ________.541 of 
this part.
    (b) The first attestation element: prevailing practice for 
automated vessels. For an employer to be in compliance with the first 
attestation element, it is required to have been the prevailing 
practice that over fifty percent (as described in paragraph (b)(1) of 
this section) of a particular activity of longshore work which was 
performed through the use of automated self-unloading conveyor belt or 
vacuum-actuated equipment at the particular port during the 12-month 
period preceding the filing of the attestation, was performed by alien 
crewmembers. For purposes of this paragraph (b), only automated vessels 
shall be included in counting the number of vessels which dock at the 
port.
    (1) Establishing a prevailing practice. 
    (i) In establishing that the use of alien crewmembers to perform a 
particular activity of longshore work consisting of the use of self-
unloading conveyor belt or vacuum-actuated systems on a vessel is the 
prevailing practice at a particular port, an employer shall submit 
facts and evidence to show that in the 12-month period preceding the 
filing of the attestation, one of the following conditions existed:
    (A) Over fifty percent of the automated vessels docking at the port 
used alien crewmembers for the activity (for purposes of this paragraph 
(b)(1), a vessel shall be counted each time it docks at the particular 
port); or
    (B) Alien crewmembers made up over fifty percent of the workers who 
performed the activity with respect to such automated vessels.
    (ii) Prevailing practice after Secretary of State determination of 
non-reciprocity. Section 258(d) of the Act provides a reciprocity 
exception (separate from the prevailing practice exception) to the 
prohibition on performance of longshore work by alien crewmembers in 
U.S. ports. However, this reciprocity exception becomes nonapplicable 
where the Secretary of State determines that, for a particular activity 
of longshore work, a particular country (by law, regulation, or 
practice) prohibits such activity by U.S. crewmembers in its ports. 
When the Secretary of State places a country on the non-reciprocity 
list (which means, for the purposes of this section, Prohibitions on 
longshore work by U.S. nationals; listing by country at 22 CFR 89.1), 
crewmembers on vessels from that country (that is, vessels that are 
registered in that country or vessels whose majority ownership interest 
is held by nationals of that country) are not permitted to perform 
longshore work in U.S. waters, absent applicability of some exception 
other than the reciprocity exception. The Secretary of State's 
determination has the following effects in the establishment of a 
prevailing practice for a particular longshore activity at a particular 
U.S. port for purposes of the prevailing practice exception.
    (A) An employer from any country, other than the country which is 
placed on the non-reciprocity list, may include the longshore 
activities performed by alien crewmembers on all vessels in 
establishing the prevailing practice for a particular longshore 
activity in a particular port.
    (B) An employer from a country which is placed on the non-
reciprocity list may file an attestation for the prevailing practice 
exception under the standards and requirements established in this 
subpart F (except as provided in paragraph (b)(1)(ii)(C) of this 
section), provided that the attestation is filed at least 12 months 
after the date on which the employer's country is placed on the list.
    (C) An employer from a country which is placed on the non-
reciprocity list may file an attestation pursuant to the prevailing 
practice exception earlier than 12 months from the date on which the 
employer's country is placed on the list, except that the following 
restrictions shall apply to such attestation:
    (1) The employer shall submit facts and evidence to show that, for 
the 12-month period preceding the date of the attestation, the use of 
alien 

[[Page 3964]]
crewmembers to perform a particular activity of longshore work was 
permitted by the prevailing practice in the port (as defined in 
paragraph (d)(1)(i) of this section) without considering or including 
such activity by crewmembers on vessels from the employer's country; or
    (2) The employer shall submit facts and evidence (including data on 
activities performed by crewmembers on vessels from the employer's 
country) to show that the use of alien crewmembers to perform a 
particular activity of longshore work was permitted by the prevailing 
practice in the port (as defined in paragraph (b)(1)(i) of this 
section) for one of two periods--
    (i) For the employer whose country has not previously been on the 
non-reciprocity list, the period is the continuous 12-month period 
prior to May 28, 1991 (the effective date of section 258 of the Act); 
or
    (ii) For the employer whose country was at some time on the non-
reciprocity list, but was subsequently removed from the non-reciprocity 
list and then restored to the non-reciprocity list (on one or more 
occasions), the period is the last continuous 12-month period during 
which the employer's country was not under the reciprocity exception 
(that is, was listed on the non-reciprocity list).
    (2) Documentation. In assembling the documentation described in 
paragraph (b)(1) of this section, the employer may consult with the 
port authority which has jurisdiction over the local port, the 
collective bargaining representative(s) of longshore workers at the 
local port, other employers, or any other entity which is familiar with 
the practices at the port. The documentation shall include a written 
summary of a survey of the experience of shipmasters who entered the 
local port in the previous year; or a letter, affidavit, or other 
written statement from an appropriate local port authority regarding 
the use of alien crewmembers to perform the longshore activity at the 
port in the previous year; or other documentation of comparable weight. 
Written statements from collective bargaining representatives and/or 
shipping agents with direct knowledge of practices regarding the use of 
alien crewmembers may also be pertinent. Such documentation shall 
accompany the Form ETA 9033, and any underlying documentation which 
supports the employer's burden of proof shall be maintained in the 
employer's records at the office of the U.S. agent as required under 
Sec. ________.510(c)(1) of this part.

(Approved by the Office of Management and Budget under Control No. 
1205-0309)

Alaska Exception


Sec. ________.530  Special provisions regarding the performance of 
longshore activities at locations in the State of Alaska.

    Applicability. Section Sec. ________.510 of this part shall not 
apply to longshore work performed at locations in the State of Alaska. 
The performance of longshore work by alien crewmembers at locations in 
the State of Alaska shall instead be governed by Secs. ________.530 
through ________.541. The use of alien crewmembers to perform longshore 
work in Alaska consisting of the use of an automated self-unloading 
conveyor belt or vacuum-actuated system on a vessel shall continue to 
be governed by the provisions of Sec. ________.520 of this part, except 
that, if the Administrator finds, based on a preponderance of the 
evidence which may be submitted by any interested party, that an 
attestation is required because the performance of the particular 
activity of longshore work is not the prevailing practice at the 
location in the State of Alaska, or was during a strike or lockout or 
intended to influence an election of a bargaining representative for 
workers at that location, or if the Administrator issues a cease and 
desist order against use of the automated equipment without such an 
attestation, the required attestation shall be filed pursuant to the 
Alaska exception at Secs. ________.530 through ________.541 and not the 
prevailing practice exception at Sec. ________.510.


Sec. ________.531  Who may submit attestations for locations in Alaska?

    In order to use alien crewmembers to perform longshore activities 
at a particular location in the State of Alaska an employer shall 
submit an attestation on Form ETA 9033-A. As noted at 
Sec. ________.502, ``Definitions,'' for purposes of Secs. ________.530 
through ________.541, which govern the performance of longshore 
activities by alien crewmembers under the Alaska exception, 
``employer'' includes any agent or representative designated by the 
employer. An employer may file a single attestation for multiple 
locations in the State of Alaska.


Sec. ________.532  Where and when should attestations be submitted for 
locations in Alaska?

    (a) Attestations shall be submitted, by U.S. mail, private carrier, 
or facsimile transmission to the U.S. Department of Labor regional 
office of the Employment and Training Administration in Seattle, 
Washington. Except as provided in paragraph (b) of this section, 
attestations shall be received and date-stamped by the Department at 
least 30 calendar days prior to the date of the first performance of 
the longshore activity. The attestation shall be accepted for filing or 
returned by ETA in accordance with Sec. ________.538 within 14 calendar 
days of the date received by ETA. An attestation which is accepted by 
ETA solely because it was not reviewed within 14 days is subject to 
subsequent invalidation pursuant to Sec. ________.540 of this part. An 
employer filing an attestation shall have an agent or representative 
with a United States address. Such address shall be clearly indicated 
on the Form ETA 9033-A. In order to ensure that an attestation has been 
accepted for filing prior to the date of the first performance of the 
longshore activity, employers are advised to take mailing time into 
account to make sure that ETA receives the attestation at least 30 days 
prior to the first performance of the longshore activity.
    (b) Late filings. ETA may accept for filing attestations received 
after the 30-day deadline where the employer could not have reasonably 
anticipated the need to file an attestation for the particular location 
at that time. When an employer states that it could not have reasonably 
anticipated the need to file the attestation at that time, it shall 
submit documentation to ETA to support such a claim. ETA shall then 
make a determination on the validity of the claim and shall accept the 
attestation for filing or return it in accordance with 
Sec. ________.538 of this part. ETA in no case shall accept an 
attestation received less than 24 hours prior to the first performance 
of the activity.


Sec. ________.533  What should be submitted for locations in Alaska?

    (a) Form ETA 9033-A with accompanying documentation. A completed 
and dated original Form ETA 9033-A, or facsimile transmission thereof, 
containing the required attestation elements and the original signature 
of the employer or the employer's agent or designated representative, 
along with two copies of the completed, signed, and dated Form ETA 
9033-A shall be submitted to ETA. (If the attestation is submitted by 
facsimile transmission, the attestation containing the original 
signature shall be maintained at the U.S. business address of the 
employer's designated agent or representative). Copies of Form ETA 
9033-A are available at all Department of Labor Regional offices and at 
the National office. In addition, the employer shall submit two sets of 
facts and evidence to show compliance 

[[Page 3965]]
with the fourth attestation element at Sec. ________.537 of this part. 
In the case of an investigation pursuant to subpart G of this part, the 
employer has the burden of proof to establish the validity of each 
attestation. The employer shall maintain in its records at the office 
of its U.S. agent, for a period of at least 3 years from the date of 
filing, sufficient documentation to meet its burden of proof, which 
shall at a minimum include the documentation described in 
Secs. ________.530 through --------.541, and shall make the documents 
available to Department of Labor officials upon request. Whenever any 
document is submitted to a Federal agency or retained in the employer's 
records pursuant to this part, the document shall either be in the 
English language or shall be accompanied by a written translation into 
the English language certified by the translator as to the accuracy of 
the translation and his/her competency to translate.
    (b) Attestation elements. The attestation elements referenced in 
Secs. ________.534 through ________.537 of this part are mandated by 
Sec. 258(d)(1) of the Act (8 U.S.C. 1288(d)(1)). Section 258(d)(1) of 
the Act requires employers who seek to have alien crewmembers engage in 
longshore activity at locations in the State of Alaska to attest as 
follows:
    (1) The employer will make a bona fide request for United States 
longshore workers who are qualified and available in sufficient numbers 
to perform the activity at the particular time and location from the 
parties to whom notice has been provided under Sec. ________.537(a)(1) 
(ii) and (iii), except that:
    (i) Wherever two or more contract stevedoring companies have signed 
a joint collective bargaining agreement with a single labor 
organization recognized as an exclusive bargaining representative of 
United States longshore workers within the meaning of the National 
Labor Relations Act (29 U.S.C. 141 et seq.), the employer may request 
longshore workers from only one such contract stevedoring company, and
    (ii) A request for longshore workers to an operator of a private 
dock may be made only for longshore work to be performed at that dock 
and only if the operator meets the requirements of section 32 of the 
Longshore and Harbor Workers' Compensation Act (33 U.S.C. 932);
    (2) The employer will employ all United States longshore workers 
made available in response to the request made pursuant to 
Sec. ________.534(a)(1) who are qualified and available in sufficient 
numbers and who are needed to perform the longshore activity at the 
particular time and location to which the employer has attested;
    (3) The use of alien crewmembers for such activity is not intended 
or designed to influence an election of a bargaining representative for 
workers in the State of Alaska; and
    (4) Notice of the attestation has been provided to:
    (i) Labor organizations which have been recognized as exclusive 
bargaining representatives of United States longshore workers within 
the meaning of the National Labor Relations Act (29 U.S.C. 141 et seq.) 
and which make available or intend to make available workers to the 
particular location where the longshore work is to be performed;
    (ii) Contract stevedoring companies which employ or intend to 
employ United States longshore workers at that location; and
    (iii) Operators of private docks at which the employer will use 
longshore workers.


Sec. ________.534  The first attestation element for locations in 
Alaska: Bona fide request for dispatch of United States longshore 
workers.

    (a) The first attestation element shall be satisfied when the 
employer signs Form ETA 9033-A, attesting that, before using alien 
crewmembers to perform longshore work during the validity period of the 
attestation, the employer will make a bona fide request for United 
States longshore workers who are qualified and available in sufficient 
numbers to perform the specified longshore activity from the parties to 
whom notice is provided under Sec. ________.537(a)(1) (ii) and (iii). 
Although an employer is required to provide notification of filing to 
labor organizations recognized as exclusive bargaining representatives 
of United States longshore workers pursuant to 
Sec. ________.537(a)(1)(i) of this part, an employer need not request 
dispatch of United States longshore workers directly from such parties. 
The requests for dispatch of United States longshore workers pursuant 
to this section shall be directed to contract stevedoring companies 
which employ or intend to employ United States longshore workers at 
that location, and to operators of private docks at which the employer 
will use longshore workers. An employer is not required to request 
dispatch of United States longshore workers from private dock operators 
or contract stevedoring companies which do not meet the requirements of 
section 32 of the Longshore and Harbor Workers' Compensation Act (33 
U.S.C. 932) or, in the case of contract stevedoring companies, which 
are not licensed to do business in the State of Alaska.
    (1) Wherever two or more contract stevedoring companies have signed 
a joint collective bargaining agreement with a single qualified labor 
organization, the employer may request longshore workers from only one 
of such contract stevedoring companies. A qualified labor organization 
is one which has been recognized as an exclusive bargaining 
representative of United States longshore workers within the meaning of 
the National Labor Relations Act (29 U.S.C. 141 et seq.) and which 
makes available or intends to make available workers to the particular 
location where the longshore work is to be performed.
    (2) A request for longshore workers to an operator of a private 
dock may be made only for longshore work to be performed at that dock.
    (3) An employer shall not be required to request longshore workers 
from a party if that party has notified the employer in writing that it 
does not intend to make available United States longshore workers who 
are qualified and available in sufficient numbers to the time and 
location at which the longshore work is to be performed.
    (4) A party that has provided such written notice to the employer 
under paragraph (a)(3) of this section may subsequently notify the 
employer in writing that it is prepared to make available United States 
longshore workers who are qualified and available in sufficient numbers 
to perform the longshore activity at the time and location where the 
longshore work is to be performed. In that event, the employer's 
obligations to that party under Secs. ________.534 and ________.535 of 
this part shall recommence 60 days after its receipt of such notice.
    (5) When a party has provided written notice to the employer under 
paragraph (a)(3) of this section that it does not intend to dispatch 
United States longshore workers to perform the longshore work attested 
to by the employer, such notice shall expire upon the earliest of the 
following events:
    (i) When the terms of such notice specify an expiration date at 
which time the employer's obligation to that party under 
Secs. ________.534 and ________.535 of this part shall recommence;
    (ii) When retracted pursuant to paragraph (a)(4) of this section; 
or
    (iii) Upon the expiration of the validity of the attestation.
    (b) Documentation. To substantiate the requirement in paragraph (a) 
of this section, an employer shall develop and 

[[Page 3966]]
maintain documentation to meet the employer's burden of proof under the 
first attestation element. The employer shall retain records of all 
requests for dispatch of United States longshore workers to perform the 
longshore work attested to. Such documentation shall consist of 
letters, telephone logs, facsimiles or other memoranda to show that, 
before using alien crewmembers to perform longshore work, the employer 
made a bona fide request for United States longshore workers who are 
qualified and available in sufficient numbers to perform the longshore 
activity. At a minimum, such documentation shall include the date the 
request was made, the name and telephone number of the particular 
individual(s) to whom the request for dispatch was directed, and the 
number and composition of full work units requested. Further, whenever 
any party has provided written notice to the employer under paragraph 
(a)(3) of this section, the employer shall retain the notice for the 
period of time specified in Sec. ________.533 of this part, and, if 
appropriate, any subsequent notice by that party that it is prepared to 
make available United States longshore workers at the times and 
locations attested to.


Sec. ________.535  The second attestation element for locations in 
Alaska: Employment of United States longshore workers.

    (a) The second attestation element shall be satisfied when the 
employer signs Form ETA 9033-A, attesting that during the validity 
period of the attestation, the employer will employ all United States 
longshore workers made available in response to the request for 
dispatch who, in compliance with applicable industry standards in the 
State of Alaska, including safety considerations, are qualified and 
available in sufficient numbers and are needed to perform the longshore 
activity at the particular time and location attested to.
    (1) In no case shall an employer filing an attestation be required 
to hire less than a full work unit of United States longshore workers 
needed to perform the longshore activity nor be required to provide 
overnight accommodations for the longshore workers while employed. For 
purposes of this section, ``full work unit'' means the full complement 
of longshore workers needed to perform the longshore activity, as 
determined by industry standards in the State of Alaska, including 
safety considerations. Where the makeup of a full work unit is covered 
by one or more collective bargaining agreements in effect at the time 
and location where longshore work is to be performed, the provisions of 
such agreement(s) shall be deemed to be in conformance with industry 
standards in the State of Alaska.
    (2) In no case shall an employer be required to provide 
transportation to the vessel where the longshore work is to be 
performed, except where:
    (i) Surface transportation is available; for purposes of this 
section, ``surface transportation'' means a tugboat or other vessel 
which is appropriately insured, operated by licensed personnel, and 
capable of safely transporting U.S. longshore workers from shore to a 
vessel on which longshore work is to be performed;
    (ii) Such transportation may be safely accomplished; and
    (iii) (A) Travel time to the vessel does not exceed one-half hour 
each way; and
    (B) Travel distance to the vessel from the point of embarkation 
does not exceed 5 miles; for purposes of this section, ``point of 
embarkation'' means a dock or landing at which U.S. longshore workers 
may be safely boarded for transport from shore to a vessel on which 
longshore work is to be performed; or
    (C) In the cases of Wide Bay, Alaska, and Klawock/Craig, Alaska, 
travel time does not exceed 45 minutes each way and travel distance to 
the vessel from the point of embarkation does not exceed 7.5 miles, 
unless the party responding to the request for dispatch agrees to 
lesser time and distance specifications.
    (3) If a United States longshore worker is capable of getting to 
and from the vessel where longshore work is to be performed when the 
vessel is beyond the time and distance limitations specified in 
paragraph (a)(2)(iii) of this section, and where all of the other 
criteria governing the employment of United States longshore workers 
under this subpart are met (e.g., ``qualified and available in 
sufficient numbers''), the employer is still obligated to employ the 
worker to perform the longshore activity. In such instance, however, 
the employer shall not be required to provide such transportation nor 
to reimburse the longshore worker for the cost incurred in transport to 
and from the vessel.
    (4) Where an employer is required to provide transportation to the 
vessel because it is within the time and distance limitations specified 
in (a)(2)(iii) of this section, the employer also shall be required to 
provide return transportation to the point of embarkation.
    (b) Documentation. To substantiate the requirement in paragraph (a) 
of this section, an employer shall develop and maintain documentation 
to meet the employer's burden of proof. Such documentation shall 
include records of payments to contract stevedoring companies or 
private dock operators, payroll records for United States longshore 
workers employed, or other documentation to show clearly that the 
employer has met its obligation to employ all United States longshore 
workers made available in response to a request for dispatch who are 
qualified and available in sufficient numbers. The documentation shall 
specify the number of full work units employed pursuant to this 
section, the composition of such full work units (i.e., number of 
workers by job title), and the date(s) and location(s) where the 
longshore work was performed. The employer also shall develop and 
maintain documentation concerning the provision of transportation from 
the point of embarkation to the vessel on which longshore work is to be 
performed. Each time one or more United States longshore workers are 
dispatched in response to the request under Sec. ________.534, the 
employer shall retain a written record of whether transportation to the 
vessel was provided and the time and distance from the point of 
embarkation to the vessel.


Sec. ________.536  The third attestation element for locations in 
Alaska: No intention or design to influence bargaining representative 
election.

    (a) The employer shall attest that use of alien crewmembers to 
perform the longshore activity specified on the Form ETA 9033-A is not 
intended or designed to influence an election of a bargaining 
representative for workers in the State of Alaska.
    (b) Documentation. The employer need not develop nor maintain 
documentation to substantiate the statement referenced in paragraph (a) 
of this section. In the case of an investigation, however, the employer 
has the burden of proof to show that the use of alien crewmembers to 
perform the longshore activity specified on the Form ETA 9033-A was not 
intended nor designed to influence an election of a bargaining 
representative for workers in the State of Alaska.


Sec. ________.537  The fourth attestation element for locations in 
Alaska: Notice of filing.

    (a)(1) The employer shall attest that at the time of filing the 
attestation, notice of filing has been provided to:
    (i) Labor organizations which have been recognized as exclusive 
bargaining representatives of United States 

[[Page 3967]]
longshore workers within the meaning of the National Labor Relations 
Act (29 U.S.C. 141 et seq.) and which make available or intend to make 
available workers to the particular location where the longshore work 
is to be performed;
    (ii) Contract stevedoring companies which employ or intend to 
employ United States longshore workers at the location where the 
longshore work is to be performed; and
    (iii) Operators of private docks at which the employer will use 
longshore workers.
    (2) The notices provided under paragraph (a)(1) of this section 
shall include a copy of the Form ETA 9033-A to be submitted to ETA, 
shall provide information concerning the availability of supporting 
documents for public examination at the national office of ETA, and 
shall include the following statement: ``Complaints alleging a 
misrepresentation of material facts in the attestation and/or failure 
to comply with the terms of the attestation may be filed with any 
office of the Wage and Hour Division of the United States Department of 
Labor.''
    (b) The employer shall request a copy of the Certificate of 
Compliance issued by the district director of the Office of Workers' 
Compensation Programs under section 37 of the Longshore and Harbor 
Workers' Compensation Act (33 U.S.C. 932) from the parties to whom 
notice is provided pursuant to paragraphs (a)(1) (ii) and (iii) of this 
section. An employer's obligation to make a bona fide request for 
dispatch of U.S. longshore workers under Sec. ________.534 of this part 
before using alien crewmembers to perform the longshore work attested 
to shall commence upon receipt of the copy of the Certificate of 
Compliance.
    (c) Documentation. The employer shall develop and maintain 
documentation sufficient to meet its burden of proving the validity of 
the statement referenced in paragraphs (a) and (b) of this section and 
attested to on the Form ETA 9033-A. Such documentation shall include a 
copy of the notices provided, as required by paragraph (a)(1) of this 
section, and shall be submitted to ETA along with the Form ETA 9033-A.


Sec. ________.538  Actions on attestations submitted for filing for 
locations in Alaska.

    Once an attestation has been received from an employer, a 
determination shall be made by the regional certifying officer whether 
to accept the attestation for filing or return it. The regional 
certifying officer may request additional explanation and/or 
documentation from the employer in making this determination. An 
attestation which is properly filled out and which includes 
accompanying documentation for the requirement set forth at 
Sec. ________.537 of this part shall be accepted for filing by ETA on 
the date it is signed by the regional certifying officer unless it 
falls within one of the categories set forth in paragraph (b) of this 
section. Once an attestation is accepted for filing, ETA shall then 
follow the procedures set forth in paragraph (a)(1) of this section. 
Upon acceptance of the employer's attestation by ETA, the attestation 
and accompanying documentation shall be forwarded to and be available 
for public examination at the ETA national office in a timely manner. 
ETA shall not consider information contesting an attestation received 
by ETA prior to the determination to accept or return the attestation 
for filing. Such information shall not be made a part of ETA's 
administrative record on the attestation, but shall be referred to ESA 
to be processed as a complaint pursuant to subpart G of this part if 
the attestation is accepted by ETA for filing.
    (a) Acceptance. (1) If the attestation is properly filled out and 
includes accompanying documentation for the requirement set forth at 
Sec. ________.537, and does not fall within one of the categories set 
forth at paragraph (b) of this section, ETA shall accept the 
attestation for filing, provide notification to the INS office having 
jurisdiction over the location where longshore work will be performed, 
and return to the employer, or the employer's agent or representative 
at a U.S. address, one copy of the attestation form submitted by the 
employer, with ETA's acceptance indicated thereon. Before using alien 
crewmembers to perform the longshore work attested to on Form ETA 9033-
A, the employer shall make a bona fide request for and employ United 
States longshore workers who are qualified and available in sufficient 
numbers pursuant to Secs. ________.534 and ________.535. Where such a 
request for dispatch of United States longshore workers is 
unsuccessful, either in whole or in part, any use of alien crewmembers 
to perform longshore activity shall be in accordance with INS 
regulations.
    (2) DOL is not the guarantor of the accuracy, truthfulness or 
adequacy of an attestation accepted for filing.
    (b) Unacceptable attestations. ETA shall not accept an attestation 
for filing and shall return such attestation to the employer, or the 
employer's agent or representative at a U.S. address, when any one of 
the following conditions exists:
    (1) When the Form ETA 9033-A is not properly filled out. Examples 
of improperly filled out Form ETA 9033-A's include instances where the 
employer has neglected to check all the necessary boxes, where the 
employer has failed to include the name of any port, city, or other 
geographical reference point where longshore work is to be performed, 
or where the employer has failed to sign the attestation or to 
designate an agent in the United States.
    (2) When the Form ETA 9033-A with accompanying documentation is not 
received by ETA at least 30 days prior to the first performance of the 
longshore activity, unless the employer is claiming that it could not 
have reasonably anticipated the need to file the attestation for that 
location at that time, and has included documentation which supports 
this contention, and ETA has found the claim to be valid.
    (3) When the Form ETA 9033-A does not include accompanying 
documentation for the requirement set forth at Sec. ________.537.
    (4) When the accompanying documentation submitted by the employer 
and required by Sec. ________.537, on its face, is inconsistent with 
that section. Examples of such a situation include an instance where 
the Form ETA 9033-A indicates that the longshore work will be performed 
at a particular private dock and the documentation required under the 
notice attestation element indicates that notice was provided to an 
operator of a different private dock, or where the longshore work is to 
be performed at a particular time and location in the State of Alaska 
and the notice of filing provided to qualified labor organizations and 
contract stevedoring companies indicates that the longshore work is to 
be performed at a different time and/or location.
    (5) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, after an investigation pursuant to subpart G of this 
part, that a cease and desist order has been issued pursuant to subpart 
G of this part, with respect to the attesting employer's performance of 
longshore work at a particular location in the State of Alaska, in 
violation of a previously accepted attestation.
    (6) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, after an investigation pursuant to subpart G of this 
part, that the particular employer has misrepresented or failed to 
comply with an attestation previously submitted and accepted for 
filing, but in no case for a period of more than one year after the 
date of the Administrator's notice and provided that INS has not 
advised ETA that the 

[[Page 3968]]
prohibition is in effect for a lesser period.
    (7) When the Administrator, Wage and Hour Division, has notified 
ETA, in writing, that the employer has failed to comply with any 
penalty, sanction, or other remedy assessed in a final agency action 
following an investigation by the Wage and Hour Division pursuant to 
subpart G of this part.
    (c) Resubmission. If the attestation is not accepted for filing 
pursuant to paragraph (b) of this section, ETA shall return to the 
employer, or the employer's agent or representative, at a U.S. address, 
the attestation form and accompanying documentation submitted by the 
employer. ETA shall notify the employer, in writing, of the reason(s) 
that the attestation is unacceptable. When an attestation is found to 
be unacceptable pursuant to paragraph (b) (1), (2), (3), or (4) of this 
section, the employer may resubmit the corrected attestation with the 
proper documentation. When an attestation is found to be unacceptable 
pursuant to paragraph (b) (5), (6), or (7) of this section and 
returned, such action shall be the final decision of the Secretary of 
Labor.


Sec. ________.539  Effective date and validity of filed attestations 
for locations in Alaska.

    An attestation is filed and effective as of the date it is accepted 
and signed by the regional certifying officer. Such attestation is 
valid for the 12-month period beginning on the date of acceptance for 
filing, unless suspended or invalidated pursuant to Sec. ________.540 
of this part. The filed attestation expires at the end of the 12-month 
period of validity.


Sec. ________.540  Suspension or invalidation of filed attestations for 
locations in Alaska.

    Suspension or invalidation of an attestation may result from 
enforcement action(s) under subpart G of this part (i.e., 
investigation(s) conducted by the Administrator or cease and desist 
order(s) issued by the Administrator regarding the employer's 
misrepresentation in or failure to carry out its attestation); or from 
a discovery by ETA that it made an error in accepting the attestation 
because such attestation falls within one of the categories set forth 
in Sec. ________.538(b).
    (a) Result of Wage and Hour Division action. Upon the determination 
of a violation under subpart G of this part, the Administrator shall, 
pursuant to Sec. ________.665(b), notify the Attorney General of the 
violation and of the Administrator's notice to ETA.
    (b) Result of ETA action. If, after accepting an attestation for 
filing, ETA finds that the attestation is unacceptable because it falls 
within one of the categories set forth at Sec. ________.538(b) and, as 
a result, ETA suspends or invalidates the attestation, ETA shall notify 
the Attorney General of such suspension or invalidation and shall 
return a copy of the attestation form to the employer, or the 
employer's agent or representative at a U.S. address. ETA shall notify 
the employer, in writing, of the reason(s) that the attestation is 
suspended or invalidated.


Sec. ________.541  Withdrawal of accepted attestations for locations in 
Alaska.

    (a) An employer who has submitted an attestation which has been 
accepted for filing may withdraw such attestation at any time before 
the 12-month period of its validity terminates, unless the 
Administrator has found reasonable cause under subpart G to commence an 
investigation of the particular attestation. Such withdrawal may be 
advisable, for example, when the employer learns that the country in 
which the vessel is registered and of which nationals of such country 
hold a majority of the ownership interest in the vessel has been 
removed from the non-reciprocity list (which means, for purposes of 
this section, Prohibitions on longshore work by U.S. nationals; listing 
by country at 22 CFR 89.1). In that event, an attestation would no 
longer be required under subpart F of this part, since upon being 
removed from the non-reciprocity list the performance of longshore work 
by alien crewmembers would be permitted under the reciprocity exception 
at sec. 258(e) of the Act (8 U.S.C. 1288(e)). Requests for withdrawals 
shall be in writing and shall be directed to the regional certifying 
officer.
    (b) Withdrawal of an attestation shall not affect an employer's 
liability with respect to any failure to meet the conditions attested 
to which took place before the withdrawal, or for misrepresentations in 
an attestation. However, if an employer has not yet performed the 
longshore activities at the location(s) in question, the Administrator 
shall not find reasonable cause to investigate unless it is alleged, 
and there is reasonable cause to believe, that the employer has made 
misrepresentations in the attestation or documentation thereof, or that 
the employer has not in fact given the notice attested to.

Public Access


Sec. ________.550  Public access.

    (a) Public examination at ETA. ETA shall make available for public 
examination in Washington, DC, a list of employers which have filed 
attestations under this subpart, and for each such employer, a copy of 
the employer's attestation and accompanying documentation it has 
received.
    (b) Notice to public. ETA periodically shall publish a list in the 
Federal Register identifying under this subpart employers which have 
submitted attestations; employers which have attestations on file; and 
employers which have submitted attestations which have been found 
unacceptable for filing.

(Approved by the Office of Management and Budget under Control No. 
1205-0309)

Appendix A to Subpart F--U.S. Seaports

    The list of 224 seaports includes all major and most smaller 
ports serving ocean and Great Lakes commerce.

North Atlantic Range

Bucksport, ME
Eastport, ME
Portland, ME
Searsport, ME
Portsmouth, NH
Boston, MA
Fall River, MA
New Bedford, MA
Providence, RI
Bridgeport, CT
New Haven, CT
New London, CT
Albany, NY
New York, NY/NJ
Camden, NJ
Gloucester City, NJ
Paulsboro, NJ
Chester, PA
Marcus Hook, PA
Philadelphia, PA
Delaware City, DE
Wilmington, DE
Baltimore, MD
Cambridge, MD
Alexandria, VA
Chesapeake, VA
Hopewell, VA
Newport News, VA
Norfolk, VA
Portsmouth, VA
Richmond, VA

South Atlantic Range

Morehead City, NC
Southport, NC
Wilmington, NC
Charleston, SC
Georgetown, SC
Port Royal, SC
Brunswick, GA
Savannah, GA
St. Mary, GA
Cocoa, FL
Fernandina Beach, FL
Fort Lauderdale, FL
Fort Pierce, FL
Jacksonville, FL
Miami, FL
Palm Beach, FL
Port Canaveral, FL 

[[Page 3969]]

Port Everglades, FL
Riviera, FL
Aguadilla, PR
Ceiba, PR
Guanica, PR
Guayanilla, PR
Humacao, PR
Jobos, PR
Mayaguez, PR
Ponce, PR
San Juan, PR
Vieques, PR
Yabucoa, PR
Alucroix, VI
Charlotte Amalie, VI
Christiansted, VI
Frederiksted, VI
Limetree Bay, VI

North Pacific Range

Astoria, OR
Bandon, OR
Columbia City, OR
Coos Bay, OR
Mapleton, OR
Newport, OR
Portland, OR
Rainier, OR
Reedsport, OR
St. Helens, OR
Toledo, OR
Anacortes, WA
Bellingham, WA
Edmonds (Edwards Point), WA
Everett, WA
Ferndale, WA
Friday Harbor, WA
Grays Harbor, WA
Kalama, WA
Longview, WA
Olympia, WA
Point Wells, WA
Portage, WA
Port Angeles, WA
Port Gamble, WA
Port Townsend, WA
Raymond, WA
Seattle, WA
Tacoma, WA
Vancouver, WA
Willapa Harbor, WA
Winslow, WA

Great Lakes Range

Duluth, MN
Silver Bay, MN
Green Bay, WI
Kenosha, WI
Manitowoc, WI
Milwaukee, WI
Sheboygan, WI
Superior, WI
Alpena, MI
Bay City, MI
Detroit, MI
De Tour Village, MI
Essexville, MI
Ferrysburg, MI
Grand Haven, MI
Marine City, MI
Muskegon, MI
Port Huron, MI
Presque Isle, MI
Rogers City, MI
Saginaw, MI
Sault Ste Marie, MI
Chicago, IL
Ashtabula, OH
Cincinnati, OH
Cleveland, OH
Conneaut, OH
Fairport, OH
Huron, OH
Lorain, OH
Sandusky, OH
Toledo, OH
Erie, PA
Buffalo, NY
Odgensburg, NY
Oswego, NY
Rochester, NY
Burns Harbor, IN
E. Chicago, IN
Gary, IN

Gulf Coast Range

Panama City, FL
Pensacola, FL
Port Manatee, FL
Port St. Joe, FL
Tampa, FL
Mobile, AL
Gulfport, MS
Pascagoula, MS
Baton Rouge, LA
Gretna, LA
Lake Charles, LA
Louisiana Offshore Oil Port, LA
New Orleans, LA
Beaumont, TX
Brownsville, TX
Corpus Christi, TX
Freeport, TX
Galveston, TX
Harbor Island, TX
Houston, TX
Orange, TX
Port Arthur, TX
Port Isabel, TX
Port Lavaca, TX
Port Neches, TX
Sabine, TX
Texas City, TX

South Pacific Range

Alameda, CA
Antioch, CA
Benicia, CA
Carlsbad, CA
Carpinteria, CA
Crockett, CA
El Segundo, CA
Eureka, CA
Estero Bay, CA
Gaviota, CA
Huntington Beach, CA
Long Beach, CA
Los Angeles, CA
Mandalay Beach, CA
Martinez, CA
Moss Landing, CA
Oakland, CA
Pittsburg, CA
Port Costa, CA
Port Hueneme, CA
Port San Luis, CA
Redwood City, CA
Richmond, CA
Sacramento, CA
San Diego, CA
San Francisco, CA
Selby, CA
Stockton, CA
Vallejo, CA
Ventura, CA
Barbers Point, HI
Hilo, HI
Honolulu, HI
Kahului, HI
Kaunakakai, HI
Kawaihae, HI
Nawiliwili, HI
Port Allen, HI

Subpart G--Enforcement of the Limitations Imposed on Employers 
Using Alien Crewmembers for Longshore Activities in U.S. Ports


Sec. ________.600  Enforcement Authority of Administrator, Wage and 
Hour Division.

    (a) The Administrator shall perform all the Secretary's 
investigative and enforcement functions under section 258 of the INA (8 
U.S.C. 1288) and subparts F and G of this part.
    (b) The Administrator, pursuant to a complaint, shall conduct such 
investigations as may be appropriate and, in connection therewith, 
enter and inspect such places and such records (and make transcriptions 
or copies thereof), question such persons and gather such information 
as deemed necessary by the Administrator to determine compliance 
regarding the matters which are the subject of the investigation.
    (c) An employer being investigated shall make available to the 
Administrator such records, information, persons, and places as the 
Administrator deems appropriate to copy, transcribe, question, or 
inspect. No employer subject to the provisions of section 258 of the 
INA (8 U.S.C. 1288) and subparts F and G of this part shall interfere 
with any official of the Department of Labor performing an 
investigation, inspection or law enforcement function pursuant to 8 
U.S.C. 1288 or subpart F or G of this part. Any such interference shall 
be a violation of the attestation and subparts F and G of this part, 
and the Administrator may take such further actions as the 
Administrator considers appropriate. (Note: Federal criminal statutes 
prohibit certain interference with a Federal officer in the performance 
of official duties. 18 U.S.C. 111 and 18 U.S.C. 1114.)
    (d)( 1) An employer subject to subparts F and G of this part shall 
at all times cooperate in administrative and enforcement proceedings. 
No employer shall intimidate, threaten, restrain, coerce, blacklist, 
discharge, retaliate, or in any manner discriminate against any person 
because such person has:
    (i) Filed a complaint or appeal under or related to section 258 of 
the INA (8 

[[Page 3970]]
U.S.C. 1288) or subpart F or G of this part;
    (ii) Testified or is about to testify in any proceeding under or 
related to section 258 of the INA (8 U.S.C. 1288) or subpart F or G of 
this part;
    (iii) Exercised or asserted on behalf of himself or herself or 
others any right or protection afforded by section 258 of the INA (8 
U.S.C. 1288) or subpart F or G of this part.
    (iv) Consulted with an employee of a legal assistance program or an 
attorney on matters related to section 258 of the Act or to subpart F 
or G of this part or any other DOL regulation promulgated pursuant to 8 
U.S.C. 1288.
    (2) In the event of such intimidation or restraint as are described 
in paragraph (d)(1) of this section, the conduct shall be a violation 
of the attestation and subparts F and G of this part, and the 
Administrator may take such further actions as the Administrator 
considers appropriate.
    (e) The Administrator shall, to the extent possible under existing 
law, protect the confidentiality of any person who provides information 
to the Department in confidence in the course of an investigation or 
otherwise under subpart F or G of this part. However, confidentiality 
will not be afforded to the complainant or to information provided by 
the complainant.


Sec. ________.605  Complaints and investigative procedures.

    (a) The Administrator, through an investigation, shall determine 
whether a basis exists to make a finding that:
    (1) An attesting employer has--
    (i) Failed to meet conditions attested to; or
    (ii) Misrepresented a material fact in an attestation.

    (Note: Federal criminal statutes provide penalties of up to 
$10,000 and/or imprisonment of up to 5 years for knowing and willful 
submission of false statements to the Federal Government. 18 U.S.C. 
1001; see also 18 U.S.C. 1546.); or

    (2) In the case of an employer operating under the automated vessel 
exception to the prohibition on utilizing alien crewmembers to perform 
longshore activity(ies) at a U.S. port, the employer--
    (i) Is utilizing alien crewmember(s) to perform longshore 
activity(ies) at a port where the prevailing practice has not been to 
use such workers for such activity(ies); or
    (ii) Is utilizing alien crewmember(s) to perform longshore 
activities:
    (A) During a strike or lockout in the course of a labor dispute at 
the U.S. port; and/or
    (B) With intent or design to influence an election of a bargaining 
representative for workers at the U.S. port; or
    (3) An employer failed to comply in any other manner with the 
provisions of subpart F or G of this part.
    (b) Any aggrieved person or organization may file a complaint of a 
violation of the provisions of subpart F or G of this part.
    (1) No particular form of complaint is required, except that the 
complaint shall be written or, if oral, shall be reduced to writing by 
the Wage and Hour Division official who receives the complaint.
    (2) The complaint shall set forth sufficient facts for the 
Administrator to determine--
    (i) Whether, in the case of an attesting employer, there is 
reasonable cause to believe that particular part or parts of the 
attestation or regulations have been violated; or
    (ii) Whether, in the case of an employer claiming the automated 
vessel exception, the preponderance of the evidence submitted by any 
interested party shows that conditions exist that would require the 
employer to file an attestation.
    (3) The complaint may be submitted to any local Wage and Hour 
Division office; the addresses of such offices are found in local 
telephone directories. The office or person receiving such a complaint 
shall refer it to the office of the Wage and Hour Division 
administering the area in which the reported violation is alleged to 
have occurred.
    (c) The Administrator shall determine whether there is reasonable 
cause to believe that the complaint warrants investigation. If the 
Administrator determines that the complaint fails to present reasonable 
cause for an investigation, the Administrator shall so notify the 
complainant, who may submit a new complaint, with such additional 
information as may be necessary. There shall be no hearing pursuant to 
Sec. ________.625 for the Administrator's determination not to conduct 
an investigation. If the Administrator determines that an investigation 
on the complaint is warranted, the investigation shall be conducted and 
a determination issued within 180 calendar days of the Administrator's 
receipt of the complaint, or later for good cause shown.
    (d) In conducting an investigation, the Administrator may consider 
and make part of the investigation file any evidence or materials that 
have been compiled in any previous investigation regarding the same or 
a closely related matter.
    (e) In conducting an investigation under an attestation, the 
Administrator shall take into consideration the employer's burden to 
provide facts and evidence to establish the matters asserted. In 
conducting an investigation regarding an employer's eligibility for the 
automated vessel exception, the Administrator shall not impose the 
burden of proof on the employer, but shall consider all evidence from 
any interested party in determining whether the employer is not 
eligible for the exception.
    (f) In an investigation regarding the use of alien crewmembers to 
perform longshore activity(ies) in a U.S. port (whether by an attesting 
employer or by an employer claiming the automated vessel exception), 
the Administrator shall accept as conclusive proof a previous 
Departmental determination, published in the Federal Register pursuant 
to Sec. ________.670, establishing that such use of alien crewmembers 
is not the prevailing practice for the activity(ies) and U.S. port at 
issue. The Administrator shall give appropriate weight to a previous 
Departmental determination published in the Federal Register pursuant 
to Sec. ________.670, establishing that at the time of such 
determination, such use of alien crewmembers was the prevailing 
practice for the activity(ies) and U.S. port at issue.
    (g) When an investigation has been conducted, the Administrator 
shall, within the time period specified in paragraph (c) of this 
section, issue a written determination as to whether a basis exists to 
make a finding stated in paragraph (a) of this section. The 
determination shall be issued and an opportunity for a hearing shall be 
afforded in accordance with the procedures specified in 
Sec. ________.625(d) of this part.


Sec. ________.610  Automated vessel exception to prohibition on 
utilization of alien crewmember(s) to perform longshore activity(ies) 
at a U.S. port.

    (a) The Act establishes a rebuttable presumption that the 
prevailing practice in U.S. ports is for automated vessels (i.e., 
vessels equipped with automated self- unloading conveyor belts or 
vacuum-actuated systems) to use alien crewmembers to perform longshore 
activity(ies) through the use of the self-unloading equipment. An 
employer claiming the automated vessel exception does not have the 
burden of establishing eligibility for the exception.
    (b) In the event of a complaint asserting that an employer claiming 
the automated vessel exception is not eligible for such exception, the 

[[Page 3971]]
Administrator shall determine whether the preponderance of the evidence 
submitted by any interested party shows that:
    (1) It is not the prevailing practice at the U.S. port to use alien 
crewmember(s) to perform the longshore activity(ies) through the use of 
the self-unloading equipment; or
    (2) The employer is using alien crewmembers to perform longshore 
activity(ies)--
    (i) During a strike or lockout in the course of a labor dispute at 
the U.S. port; and/or
    (ii) With intent or design to influence an election of a bargaining 
representative for workers at the U.S. port.
    (c) In making the prevailing practice determination required by 
paragraph (b)(1) of this section, the Administrator shall determine 
whether, in the 12-month period preceding the date of the 
Administrator's receipt of the complaint, one of the following 
conditions existed:
    (1) Over fifty percent of the automated vessels docking at the port 
used alien crewmembers for the activity (for purposes of this paragraph 
(c)(1) of this section, a vessel shall be counted each time it docks at 
the particular port); or
    (2) Alien crewmembers made up over fifty percent of the workers who 
performed the activity with respect to such automated vessels.
    (d) An interested party, complaining that the automated vessel 
exception is not applicable to a particular employer, shall provide to 
the Administrator evidence such as:
    (1) A written summary of a survey of the experience of masters of 
automated vessels which entered the local port in the previous year, 
describing the practice in the port as to the use of alien crewmembers;
    (2) A letter, affidavit, or other written statement from an 
appropriate local port authority regarding the use of alien crewmembers 
to perform the longshore activity at the port in the previous year;
    (3) Written statements from collective bargaining representatives 
and/or shipping agents with direct knowledge of practices regarding the 
use of alien crewmembers at the port in the previous year.


Sec. ________.615  Cease and desist order.

    (a) If the Administrator determines that reasonable cause exists to 
conduct an investigation with respect to an attestation, the 
complainant may request that the Administrator enter a cease and desist 
order against the employer against whom the complaint is lodged.
    (1) The request for a cease and desist order may be filed along 
with the complaint, or may be filed subsequently. The request, 
including all accompanying documents, shall be filed in duplicate with 
the same Wage and Hour Division office that received the complaint.
    (2) No particular form is prescribed for a request for a cease and 
desist order pursuant to this paragraph (a). However, any such request 
shall:
    (i) Be dated;
    (ii) Be typewritten or legibly written;
    (iii) Specify the attestation provision(s) with respect to which 
the employer allegedly failed to comply and/or submitted 
misrepresentation(s) of material fact(s);
    (iv) Be accompanied by evidence to substantiate the allegation(s) 
of noncompliance and/or misrepresentation;
    (v) Be signed by the complaining party making the request or by the 
authorized representative of such party;
    (vi) Include the address at which such complaining party or 
authorized representative desires to receive further communications 
relating thereto.
    (3) Upon receipt of a request for a cease and desist order, the 
Administrator shall promptly notify the employer of the request. The 
Administrator's notice shall:
    (i) Inform the employer that it may respond to the request and meet 
with a Wage and Hour Division official within 14 calendar days of the 
date of the notice;
    (ii) Be served upon the employer by facsimile transmission, in 
person, or by certified or regular mail, at the address of the U.S. 
agent stated on the employer's attestation;
    (iii) Be accompanied by copies of the complaint, the request for a 
cease and desist order, the evidence submitted by the complainant, and 
any evidence from other investigation(s) of the same or a closely 
related matter which the Administrator may incorporate into the record. 
(Any such evidence from other investigation(s) shall also be made 
available for examination by the complaining party at the Wage and Hour 
Division office which issued the notice.)
    (4) No particular form is prescribed for the employer's response to 
the complaining party's request for a cease and desist order under this 
paragraph (a), however, any such response shall:
    (i) Be dated;
    (ii) Be submitted by facsimile transmission, in person, by 
certified or regular mail, or by courier service to the Wage and Hour 
Division office which issued the notice of the request;
    (iii) Be received by the appropriate Wage and Hour Division office 
no later than 14 calendar days from the date of the notice of the 
request;
    (iv) Be typewritten or legibly written;
    (v) Explain, in any detail desired by the employer, the employer's 
grounds or reasons as to why the Administrator should deny the 
requested cease and desist order;
    (vi) Be accompanied by evidence to substantiate the employer's 
grounds or reasons as to why the Administrator should deny the 
requested cease and desist order;
    (vii) Specify whether the employer desires an informal meeting with 
a Wage and Hour Division official;
    (viii) Be signed by the employer or its authorized representative; 
and
    (ix) Include the address at which the employer or its authorized 
representative desires to receive further communications relating 
thereto, if such address is different from the address of the U.S. 
agent stated on the attestation.
    (5) In the event the employer requests a meeting with a Wage and 
Hour Division official, the Administrator shall provide the employer 
and the complaining party, or their authorized representatives, an 
opportunity for such a meeting to present their views regarding the 
evidence and arguments submitted by the parties. This shall be an 
informal meeting, not subject to any procedural rules. The meeting 
shall be held within the 14 calendar days permitted for the employer's 
response to the request for the cease and desist order, and shall be 
held at a time and place set by the Wage and Hour Division official, 
who shall notify the parties.
    (6) After receipt of the employer's timely response and after any 
informal meeting which may have been held with the parties, the 
Administrator shall promptly issue a written determination, either 
denying the request or issuing a cease and desist order. In making the 
determination, the Administrator shall consider all the evidence 
submitted, including any evidence from the same or a closely related 
matter which the Administrator has incorporated into the record and 
provided to the employer. If the Administrator determines that the 
complaining party's position is supported by a preponderance of the 
evidence submitted, the Administrator shall order that the employer 
cease the activities specified in the determination, until the 
completion of the Administrator's investigation and any subsequent 
proceedings pursuant to Sec. ________.625 of this part, unless the 
prohibition is lifted by subsequent order of the Administrator because 
it is later determined that the employer's position was correct. While 
the cease and desist order is in effect, ETA shall suspend the 

[[Page 3972]]
subject attestation, either in whole or in part, and shall not accept 
any subsequent attestation from the employer for the activity(ies) and 
U.S. port or location in the State of Alaska at issue.
    (7) The Administrator's cease and desist order shall be served on 
the employer at the address of its designated U.S. based representative 
or at the address specified in the employer's response, by facsimile 
transmission, personal service, or certified mail.
    (b) If the Administrator determines that reasonable cause exists to 
conduct an investigation with respect to a complaint that a non-
attesting employer is not entitled to the automated vessel exception to 
the requirement for the filing of an attestation, a complaining party 
may request that the Administrator enter a cease and desist order 
against the employer against whom the complaint is lodged.
    (1) The request for a cease and desist order may be filed along 
with the complaint, or may be filed subsequently. The request, 
including all accompanying documents, shall be filed in duplicate with 
the same Wage and Hour Division office that received the complaint.
    (2) No particular form is prescribed for a request for a cease and 
desist order pursuant to this paragraph. However, any such request 
shall:
    (i) Be dated;
    (ii) Be typewritten or legibly written;
    (iii) Specify the circumstances which allegedly require that the 
employer be denied the use of the automated vessel exception;
    (iv) Be accompanied by evidence to substantiate the allegation(s);
    (v) Be signed by the complaining party making the request or by the 
authorized representative of such party; and
    (vi) Include the address at which such complaining party or 
authorized representative desires to receive further communications 
relating thereto.
    (3) Upon receipt of a request for a cease and desist order, the 
Administrator shall notify the employer of the request. The 
Administrator's notice shall:
    (i) Inform the employer that it may respond to the request and meet 
with a Wage and Hour Division official within 14 calendar days of the 
date of the notice;
    (ii) Be served upon the employer by facsimile transmission, in 
person, or by certified or regular mail, at the employer's last known 
address; and
    (iii) Be accompanied by copies of the complaint, the request for a 
cease and desist order, the evidence submitted by the complainant, and 
any evidence from other investigation(s) of the same or a closely 
related matter which the Administrator may incorporate into the record. 
(Any such evidence from other investigation(s) shall also be made 
available for examination by the complaining party at the Wage and Hour 
Division office which issued the notice.)
    (4) No particular form is prescribed for the employer's response to 
the complaining party's request for a cease and desist order under this 
paragraph (b). However, any such response shall:
    (i) Be dated;
    (ii) Be submitted by facsimile transmission, in person, by 
certified or regular mail, or by courier service to the Wage and Hour 
Division office which issued the notice of the request;
    (iii) Be received by the appropriate Wage and Hour Division office 
no later than 14 calendar days from the date of the notice of the 
request;
    (iv) Be typewritten or legibly written;
    (v) Explain, in any detail desired by the employer, the employer's 
grounds or reasons as to why the Administrator should deny the 
requested cease and desist order;
    (vi) Be accompanied by evidence to substantiate the employer's 
grounds or reasons as to why the Administrator should deny the 
requested cease and desist order;
    (vii) Specify whether the employer desires an informal meeting with 
a Wage and Hour Division official;
    (viii) Be signed by the employer or its authorized representative; 
and
    (ix) Include the address at which the employer or its authorized 
representative desires to receive further communications relating 
thereto.
    (5) In the event the employer requests a meeting with a Wage and 
Hour Division official, the Administrator shall provide the employer 
and the complaining party, or their authorized representatives, an 
opportunity for such a meeting to present their views regarding the 
evidence and arguments submitted by the parties. This shall be an 
informal meeting, not subject to any procedural rules. The meeting 
shall be held within the 14 calendar days permitted for the employer's 
response to the request for the cease and desist order, and shall be 
held at a time and place set by the Wage and Hour Division official, 
who shall notify the parties.
    (6) After receipt of the employer's timely response and after any 
informal meeting which may have been held with the parties, the 
Administrator shall promptly issue a written determination, either 
denying the request or issuing a cease and desist order. If the 
Administrator determines that the complaining party's position is 
supported by a preponderance of the evidence submitted, the 
Administrator shall order that the employer cease the use of alien 
crewmembers to perform the longshore activity(ies) specified in the 
order. In making the determination, the Administrator shall consider 
all the evidence submitted, including any evidence from the same or a 
closely related matter which the Administrator has incorporated into 
the record and provided to the employer. The order shall remain in 
effect until the completion of the investigation and any subsequent 
hearing proceedings pursuant to Sec. ________.625 of this part, unless 
the employer files and maintains on file with ETA an attestation 
pursuant to Sec. ________.520 of this part or unless the prohibition is 
lifted by subsequent order of the Administrator because it is later 
determined that the employer's position was correct.
    (7) The Administrator's cease and desist order shall be served on 
the employer or its designated representative by facsimile 
transmission, personal service, or by certified mail at the address 
specified in the employer's response or, if no such address was 
specified, at the employer's last known address.


Sec. ________.620.  Civil money penalties and other remedies.

    (a) The Administrator may assess a civil money penalty not to 
exceed $5,000 for each alien crewmember with respect to whom there has 
been a violation of the attestation or subpart F or G of this part. The 
Administrator may also impose appropriate remedy(ies).
    (b) In determining the amount of civil money penalty to be 
assessed, the Administrator shall consider the type of violation 
committed and other relevant factors. The factors which may be 
considered include, but are not limited to, the following:
    (1) Previous history of violation, or violations, by the employer 
under the Act and subpart F or G of this part;
    (2) The number of workers affected by the violation or violations;
    (3) The gravity of the violation or violations;
    (4) Efforts made by the violator in good faith to comply with the 
provisions of 8 U.S.C. 1288(c) and subparts F and G of this part;
    (5) The violator's explanation of the violation or violations;
    (6) The violator's commitment to future compliance; and/or
    (7) The extent to which the violator achieved a financial gain due 
to the violation, or the potential financial loss, 

[[Page 3973]]
potential injury or adverse effect with respect to other parties.
    (c) The civil money penalty, and any other remedy determined by the 
Administrator to be appropriate, are immediately due for payment or 
performance upon the assessment by the Administrator, or the decision 
by an administrative law judge where a hearing is requested, or the 
decision by the Secretary where review is granted. The employer shall 
remit the amount of the civil money penalty, by certified check or 
money order made payable to the order of ``Wage and Hour Division, 
Labor.'' The remittance shall be delivered or mailed to the Wage and 
Hour Division office for the area in which the violations occurred. The 
performance of any other remedy prescribed by the Administrator shall 
follow procedures established by the Administrator. The employer's 
failure to pay the civil money penalty, or to perform any other remedy 
prescribed by the Administrator, shall result in the rejection by ETA 
of any future attestation submitted by the employer, until such payment 
or performance is accomplished.


Sec. ________.625  Written notice, service and Federal Register 
publication of Administrator's determination.

    (a) The Administrator's determination, issued pursuant to 
Sec. ________.605 of this part, shall be served on the complainant, the 
employer, and other known interested parties by personal service or by 
certified mail at the parties' last known addresses. Where service by 
certified mail is not accepted by the party, the Administrator may 
exercise discretion to serve the determination by regular mail.
    (b) Where the Administrator determines the prevailing practice 
regarding the use of alien crewmember(s) to perform longshore 
activity(ies) in a U.S. port (whether the Administrator's investigation 
involves an employer operating under an attestation, or under the 
automated vessel exception), the Administrator shall, simultaneously 
with issuance of the determination, publish in the Federal Register a 
notice of the determination. The notice shall identify the 
activity(ies), the U.S. port, and the prevailing practice regarding the 
use of alien crewmembers. The notice shall also inform interested 
parties that they may request a hearing pursuant to Sec. ________.630 
of this part, within 15 days of the date of the determination.
    (c) The Administrator shall file with the Chief Administrative Law 
Judge, U.S. Department of Labor, a copy of the complaint and the 
Administrator's determination.
    (d) The Administrator's written determination required by 
Sec. ________.605 of this part shall:
    (1) Set forth the determination of the Administrator and the reason 
or reasons therefor, and in the case of a finding of violation(s) by an 
attesting employer, prescribe any remedies, including the amount of any 
civil money penalties assessed and the reason therefor, and/or any 
other remedies required for compliance with the employer's attestation.
    (2) Inform the interested parties that they may request a hearing 
pursuant to Sec. ________.625 of this part.
    (3) Inform the interested parties that in the absence of a timely 
request for a hearing, received by the Chief Administrative Law Judge 
within 15 calendar days of the date of the determination, the 
determination of the Administrator shall become final and not 
appealable.
    (4) Set forth the procedure for requesting a hearing, and give the 
address of the Chief Administrative Law Judge (with whom the request 
must be filed) and the representative(s) of the Solicitor of Labor 
(upon whom copies of the request must be served).
    (5) Inform the parties that, pursuant to Sec. ________.665, the 
Administrator shall notify ETA and the Attorney General of the 
occurrence of a violation by the attesting employer or of the non-
attesting employer's ineligibility for the automated vessel exception.


Sec. ________.630  Request for hearing.

    (a) Any interested party desiring to request an administrative 
hearing on a determination issued pursuant to Secs. ________.605 and 
________.625 of this part shall make such request in writing to the 
Chief Administrative Law Judge at the address stated in the notice of 
determination.
    (b) Interested parties may request a hearing in the following 
circumstances:
    (1) The complainant or any other interested party may request a 
hearing where the Administrator determines, after investigation, that 
there is no basis for a finding that an attesting employer has 
committed violation(s) or that the employer is eligible for the 
automated vessel exception. In such a proceeding, the requesting party 
and the employer shall be parties; the Administrator may intervene as a 
party or appear as amicus curiae at any time in the proceeding, at the 
Administrator's discretion.
    (2) The employer or any other interested party may request a 
hearing where the Administrator determines, after investigation, that 
there is a basis for a finding that an attesting employer has committed 
violation(s) or that a non- attesting employer is not eligible for the 
automated vessel exception. In such a proceeding, the Administrator and 
the employer shall be parties.
    (c) No particular form is prescribed for any request for hearing 
permitted by this section. However, any such request shall:
    (1) Be dated;
    (2) Be typewritten or legibly written;
    (3) Specify the issue or issues stated in the notice of 
determination giving rise to such request;
    (4) State the specific reason or reasons why the party requesting 
the hearing believes such determination is in error;
    (5) Be signed by the party making the request or by an authorized 
representative of such party; and
    (6) Include the address at which such party or authorized 
representative desires to receive further communications relating 
thereto.
    (d) The request for such hearing must be received by the Chief 
Administrative Law Judge, at the address stated in the Administrator's 
notice of determination, no later than 15 calendar days after the date 
of the determination. An interested party that fails to meet this 15-
day deadline for requesting a hearing may thereafter participate in the 
proceedings only by consent of the administrative law judge, either 
through intervention as a party pursuant to 29 CFR 18.10 (b) through 
(d) or through participation as an amicus curiae pursuant to 18 CFR 
18.12.
    (e) The request may be filed in person, by facsimile transmission, 
by certified or regular mail, or by courier service. For the requesting 
party's protection, if the request is filed by mail, it should be by 
certified mail. If the request is filed by facsimile transmission, the 
original of the request, signed by the requestor or authorized 
representative, shall be filed within ten days.
    (f) Copies of the request for a hearing shall be sent by the 
requestor to the Wage and Hour Division official who issued the 
Administrator's notice of determination, to the representative(s) of 
the Solicitor of Labor identified in the notice of determination, and 
to all known interested parties.


Sec. ______.635  Rules of practice for administrative law judge 
proceedings.

    (a) Except as specifically provided in this subpart, and to the 
extent they do not conflict with the provisions of this subpart, the 
``Rules of Practice and Procedure for Administrative Hearings Before 
the Office of Administrative Law Judges'' established by the Secretary 
at 29 CFR part 18 shall apply to 

[[Page 3974]]
administrative proceedings under this subpart.
    (b) As provided in the Administrative Procedure Act, 5 U.S.C. 556, 
any oral or documentary evidence may be received in proceedings under 
this part. The Federal Rules of Evidence and subpart B of the Rules of 
Practice and Procedure for Administrative Hearings Before the Office of 
Administrative Law Judges (29 CFR part 18, subpart B) shall not apply, 
but principles designed to ensure production of relevant and probative 
evidence shall guide the admission of evidence. The administrative law 
judge may exclude evidence which is immaterial, irrelevant, or unduly 
repetitive.


Sec. ______.640  Service and computation of time.

    (a) Under this subpart, a party may serve any pleading or document 
by regular mail. Service on a party is complete upon mailing to the 
last known address or, in the case of the attesting employer, to the 
employer's designated representative in the U.S. No additional time for 
filing or response is authorized where service is by mail. In the 
interest of expeditious proceedings, the administrative law judge may 
direct the parties to serve pleadings or documents by a method other 
than regular mail.
    (b) Two (2) copies of all pleadings and other documents in any 
administrative law judge proceeding shall be served on the attorneys 
for the Administrator. One copy shall be served on the Associate 
Solicitor, Division of Fair Labor Standards, Office of the Solicitor, 
U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 
20210, and one copy on the attorney representing the Administrator in 
the proceeding.
    (c) Time will be computed beginning with the day following the 
action and includes the last day of the period unless it is a Saturday, 
Sunday, or federally-observed holiday, in which case the time period 
includes the next business day.


Sec. ________.645  Administrative law judge proceedings.

    (a) Upon receipt of a timely request for a hearing filed pursuant 
to and in accordance with Sec. ________.630 of this part, the Chief 
Administrative Law Judge shall promptly appoint an administrative law 
judge to hear the case.
    (b) Within seven calendar days following the assignment of the 
case, the administrative law judge shall notify all interested parties 
of the date, time and place of the hearing. All parties shall be given 
at least fourteen calendar days' notice of such hearing.
    (c) The date of the hearing shall be not more than 60 calendar days 
from the date of the Administrator's determination. Because of the time 
constraints imposed by the Act, no requests for postponement shall be 
granted except for compelling reasons. Even if such reasons are shown, 
no extension of the hearing date beyond 60 days from the date of the 
Administrator's determination shall be granted except by consent of all 
the parties to the proceeding.
    (d) The administrative law judge may prescribe a schedule by which 
the parties are permitted to file a prehearing brief or other written 
statement of fact or law. Any such brief or statement shall be served 
upon each other party in accordance with Sec. ________.640 of this 
part. Posthearing briefs will not be permitted except at the request of 
the administrative law judge. When permitted, any such brief shall be 
limited to the issue or issues specified by the administrative law 
judge, shall be due within the time prescribed by the administrative 
law judge, and shall be served on each other party in accordance with 
Sec. ________.640 of this part.
    (e) In reaching a decision, the administrative law judge shall, in 
accordance with the Act, impose the following burden of proof--
    (1) The attesting employer shall have the burden of producing facts 
and evidence to establish the matters required by the attestation at 
issue;
    (2) The burden of proof as to the applicability of the automated 
vessel exception shall be on the party to the hearing who is asserting 
that the employer is not eligible for the exception.
    (f) The administrative law judge proceeding shall not be an appeal 
or review of the Administrator's ruling on a request for a cease and 
desist order pursuant to Sec. ________.615.


Sec. ________.650  Decision and order of administrative law judge.

    (a) Within 90 calendar days after receipt of the transcript of the 
hearing, the administrative law judge shall issue a decision. If any 
party desires review of the decision, including judicial review, a 
petition for Secretary's review thereof shall be filed as provided in 
Sec. ________.655 of this subpart. If a petition for review is filed, 
the decision of the administrative law judge shall be inoperative 
unless and until the Secretary issues an order affirming the decision, 
or, unless and until 30 calendar days have passed after the Secretary's 
receipt of the petition for review and the Secretary has not issued 
notice to the parties that the Secretary will review the administrative 
law judge's decision.
    (b) The decision of the administrative law judge shall include a 
statement of findings and conclusions, with reasons and basis therefor, 
upon each material issue presented on the record. The decision shall 
also include an appropriate order which may affirm, deny, reverse, or 
modify, in whole or in part, the determination of the Administrator; 
the reason or reasons for such order shall be stated in the decision. 
The administrative law judge shall not render determinations as to the 
legality of a regulatory provision or the constitutionality of a 
statutory provision.
    (c) The decision shall be served on all parties in person or by 
certified or regular mail.


Sec. ________.655  Secretary's review of administrative law judge's 
decision.

    (a) The Administrator or any interested party desiring review of 
the decision and order of an administrative law judge shall petition 
the Secretary to review the decision and order. To be effective, such 
petition shall be received by the Secretary within 30 calendar days of 
the date of the decision and order. Copies of the petition shall be 
served on all parties and on the administrative law judge.
    (b) No particular form is prescribed for any petition for 
Secretary's review permitted by this subpart. However, any such 
petition shall:
    (1) Be dated;
    (2) Be typewritten or legibly written;
    (3) Specify the issue or issues stated in the administrative law 
judge decision and order giving rise to such petition;
    (4) State the specific reason or reasons why the party petitioning 
for review believes such decision and order are in error;
    (5) Be signed by the party filing the petition or by an authorized 
representative of such party;
    (6) Include the address at which such party or authorized 
representative desires to receive further communications relating 
thereto; and
    (7) Attach copies of the administrative law judge's decision and 
order, and any other record documents which would assist the Secretary 
in determining whether review is warranted.
    (c) Whenever the Secretary determines to review the decision and 
order of an administrative law judge, a notice of the Secretary's 
determination shall be served upon the administrative law judge and 
upon all parties to the 

[[Page 3975]]
proceeding within 30 calendar days after the Secretary's receipt of the 
petition for review.
    (d) Upon receipt of the Secretary's notice, the Office of 
Administrative Law Judges shall within fifteen calendar days forward 
the complete hearing record to the Secretary.
    (e) The Secretary's notice may specify:
    (1) The issue or issues to be reviewed;
    (2) The form in which submissions shall be made by the parties 
(e.g., briefs); and
    (3) The time within which such submissions shall be made.
    (f) All documents submitted to the Secretary shall be filed with 
the Secretary of Labor, U.S. Department of Labor, Washington, DC 20210, 
Attention: Executive Director, Office of Administrative Appeals, room 
S-4309. An original and two copies of all documents shall be filed. 
Documents are not deemed filed with the Secretary until actually 
received by the Secretary. All documents, including documents filed by 
mail, shall be received by the Secretary either on or before the due 
date.
    (g) Copies of all documents filed with the Secretary shall be 
served upon all other parties involved in the proceeding. Service upon 
the Administrator shall be in accordance with Sec. ________.640(b) of 
this part.
    (h) The Secretary's final decision shall be issued within 180 
calendar days from the date of the notice of intent to review. The 
Secretary's decision shall be served upon all parties and the 
administrative law judge.
    (i) Upon issuance of the Secretary's decision, the Secretary shall 
transmit the entire record to the Chief Administrative Law Judge for 
custody pursuant to Sec. ________.660 of this part.


Sec. ________.660  Administrative record.

    The official record of every completed administrative hearing 
procedure provided by subparts F and G of this part shall be maintained 
and filed under the custody and control of the Chief Administrative Law 
Judge. Upon receipt of a complaint seeking review of the final agency 
action in a United States District Court, the Chief Administrative Law 
Judge shall certify the official record and shall transmit such record 
to the clerk of the court.


Sec. ________.665  Notice to the Attorney General and the Employment 
and Training Administration.

    (a) The Administrator shall promptly notify the Attorney General 
and ETA of the entry of a cease and desist order pursuant to 
Sec. ________.615 of this part. The order shall remain in effect until 
the completion of the Administrator's investigation and any subsequent 
proceedings pursuant to Sec. ________.630 of this part, unless the 
Administrator notifies the Attorney General and ETA of the entry of a 
subsequent order lifting the prohibition.
    (1) The Attorney General, upon receipt of notification from the 
Administrator that a cease and desist order has been entered against an 
employer:
    (i) Shall not permit the vessels owned or chartered by the 
attesting employer to use alien crewmembers to perform the longshore 
activity(ies) at the port or location in the State of Alaska specified 
in the cease and desist order; and
    (ii) Shall, in the case of an employer seeking to utilize the 
automated vessel exception, require that such employer not use alien 
crewmembers to perform the longshore activity(ies) at the port or 
location in the State of Alaska specified in the cease and desist 
order, without having on file with ETA an attestation pursuant to 
Sec. ________.520 of this part.
    (2) ETA, upon receipt of the Administrator's notice shall, in the 
case of an attesting employer, suspend the employer's attestation, 
either in whole or in part, for the activity(ies) and port or location 
in the State of Alaska specified in the cease and desist order.
    (b) The Administrator shall notify the Attorney General and ETA of 
the final determination of a violation by an attesting employer or of 
the ineligibility of an employer for the automated vessel exception, 
upon the earliest of the following events:
    (1) Where the Administrator determines that there is a basis for a 
finding of violation by an attesting employer or a finding of 
nonapplicability of the automated vessel exception, and no timely 
request for hearing is made pursuant to Sec. ________.630 of this part;
    (2) Where, after a hearing, the administrative law judge issues a 
decision and order finding a violation by an attesting employer or 
finding inapplicable the automated vessel exception, and no timely 
petition for review to the Secretary is made pursuant to 
Sec. ________.655 of this part; or
    (3) Where a petition for review is taken from an administrative law 
judge's decision finding a violation or finding inapplicable the 
automated vessel exception, and the Secretary either declines within 
thirty days to entertain the appeal, pursuant to Sec. ________.655(c) 
of this part, or the Secretary affirms the administrative law judge's 
determination; or
    (4) Where the administrative law judge finds that there was no 
violation by an attesting employer or that the automated vessel 
exception does apply, and the Secretary, upon review, issues a decision 
pursuant to Sec. ________.655 of this part, holding that a violation 
was committed by an attesting employer or holding that the automated 
vessel exception does not apply.
    (c) The Attorney General, upon receipt of notification from the 
Administrator pursuant to paragraph (b) of this section:
    (1) Shall not permit the vessels owned or chartered by the 
attesting employer to enter any port of the U.S. for a period of up to 
one year;
    (2) Shall, in the case of an employer determined to be ineligible 
for the automated vessel exception, thereafter require that such 
employer not use alien crewmembers(s) to perform the longshore 
activity(ies) at the specified port or location in the State of Alaska 
without having on file with ETA an attestation pursuant to 
Sec. ________.520 of this part; and
    (3) Shall, in the event that the Administrator's notice constitutes 
a conclusive determination (pursuant to Sec. ________.670) that the 
prevailing practice at a particular U.S. port does not permit the use 
of nonimmigrant alien crewmembers for particular longshore 
activity(ies), thereafter permit no employer to use alien crewmembers 
for the particular longshore activity(ies) at that port.
    (d) ETA, upon receipt of the Administrator's notice pursuant to 
paragraph (b) of this section:
    (1) Shall, in the case of an attesting employer, suspend the 
employer's attestation, either in whole or in part, for the port or 
location at issue and for any other U.S. port, and shall not accept for 
filing any attestation submitted by the employer for a period of 12 
months or for a shorter period if such is specified for that employer 
by the Attorney General; and
    (2) Shall, if the Administrator's notice constitutes a conclusive 
determination (pursuant to Sec. ________.670) that the prevailing 
practice at a particular U.S. port does not permit the use of alien 
crewmembers for the longshore activity(ies), thereafter accept no 
attestation under the prevailing practice exception on Form ETA 9033 
from any employer for the performance of the activity(ies) at that 
port, and shall invalidate any current attestation under the prevailing 
practice exception on Form ETA 9033 for any employer for the 
performance of the activity(ies) at that port.

[[Page 3976]]



Sec. ________.670  Federal Register notice of determination of 
prevailing practice.

    (a) Pursuant to Sec. ________.625(b), the Administrator shall 
publish in the Federal Register a notice of the Administrator's 
determination of any investigation regarding the prevailing practice 
for the use of alien crewmembers for particular longshore activity(ies) 
in a particular U.S. port (whether under an attestation or under the 
automated vessel exception). Where the Administrator has determined 
that the prevailing practice in that U.S. port does not permit such use 
of alien crewmembers, and no timely request for a hearing is filed 
pursuant to Sec. ________.630, the Administrator's determination shall 
be the conclusive determination for purposes of the Act and subparts F 
and G of this part; the Attorney General and ETA shall, upon notice 
from the Administrator, take the actions specified in 
Sec. ________.665. Where the Administrator has determined that the 
prevailing practice in that U.S. port at the time of the investigation 
permits such use of alien crewmembers, the Administrator shall, in any 
subsequent investigation, give that determination appropriate weight, 
unless the determination is reversed in proceedings under 
Sec. ________.630 or Sec. ________.655.
    (b) Where an interested party, pursuant to Sec. ________.630, 
requests a hearing on the Administrator's determination, the 
Administrator shall, upon the issuance of the decision of the 
administrative law judge, publish in the Federal Register a notice of 
the judge's decision as to the prevailing practice for the longshore 
activity(ies) and U.S. port at issue, if the administrative law judge:
    (1) Reversed the determination of the Administrator published in 
the Federal Register pursuant to paragraph (a) of this section; or
    (2) Determines that the prevailing practice for the particular 
activity in the port does not permit the use of alien crewmembers.
    (c) If the administrative law judge determines that the prevailing 
practice in that port does not permit such use of alien crewmembers, 
the judge's decision shall be the conclusive determination for purposes 
of the Act and subparts F and G of this part (unless and until reversed 
by the Secretary on discretionary review pursuant to 
Sec. ________.655). The Attorney General and ETA shall upon notice from 
the Administrator, take the actions specified in Sec. ________.665.
    (d) In the event that the Secretary, upon discretionary review 
pursuant to Sec. ________.655, issues a decision that reverses the 
administrative law judge on a matter on which the Administrator has 
published notices in the Federal Register pursuant to paragraphs (a) 
and (b) of this section, the Administrator shall publish in the Federal 
Register a notice of the Secretary's decision and shall notify the 
Attorney General and ETA.
    (1) Where the Secretary reverses the administrative law judge and 
determines that, contrary to the judge's decision, the prevailing 
practice for the longshore activity(ies) in the U.S. port at issue does 
not permit the use of alien crewmembers, the Secretary's decision shall 
be the conclusive determination for purposes of the Act and subparts F 
and G of this part. Upon notice from the Administrator, the Attorney 
General and ETA shall take the actions specified in Sec. ________.665.
    (2) Where the Secretary reverses the administrative law judge and 
determines that, contrary to the judge's decision, the use of alien 
crewmembers is permitted by the prevailing practice for the longshore 
activity(ies) in the U.S. port at issue, the judge's decision shall no 
longer have the conclusive effect specified in paragraph (b) of this 
section. Upon notice from the Administrator, the Attorney General and 
ETA shall cease the actions specified in Sec. ________.665.


Sec. ________.675  Non-applicability of the Equal Access to Justice 
Act.

    A proceeding under subpart G of this part is not subject to the 
Equal Access to Justice Act, as amended, 5 U.S.C. 504. In such a 
proceeding, the administrative law judge shall have no authority to 
award attorney fees and/or other litigation expenses pursuant to the 
provisions of the Equal Access to Justice Act.

Adoption of the Joint Interim Final Rule

    The agency specific adoption of the joint interim final rule, which 
appears at the end of the common preamble, appears below:

TITLE 20--EMPLOYEES' BENEFITS

CHAPTER V--EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR
    Accordingly, for the reasons set forth in the preamble, Chapter V 
of Title 20, Code of Federal Regulations, is amended as follows:

PART 655--TEMPORARY EMPLOYMENT OF ALIENS IN THE UNITED STATES

    1. The Authority citation for part 655 is revised to read as 
follows:

    Authority: Section 655.0 issued under 8 U.S.C. 1101(a)(15)(H) 
(i) and (ii), 1182 (m) and (n), 1184, 1188, and 1288 (c) and (d); 29 
U.S.C. 49 et seq.; sec. 3(c)(1), Pub. L. 101-238, 103 Stat. 2099, 
2103 (8 U.S.C. 1182 note); sec. 221(a), Pub. L. 101-649, 104 Stat. 
4978, 5027 (8 U.S.C. 1184 note); Pub. L. 103-206, 107 Stat 2419; and 
8 CFR 214.2(h)(4)(i).
    Section 655.00 issued under 8 U.S.C. 1101(a)(15)(H)(ii), 1184, 
and 1188; 29 U.S.C. 49 et seq.; and 8 CFR 214.2(h)(4)(i).
    Subparts A and C issued under 8 U.S.C. 1101(a)(15)(H)(ii)(b) and 
1184; 29 U.S.C. 49 et seq.; and 8 CFR 214.2(h)(4)(i).
    Subpart B issued under 8 U.S.C. 1101(a)(15)(H)(ii)(a), 1184, and 
1188; and 29 U.S.C. 49 et seq.
    Subparts D and E issued under 8 U.S.C. 1101(a)(15)(H)(i)(a), 
1182(m), and 1184; 29 U.S.C. 49 et seq.; and sec. 3(c)(1), Pub. L. 
101-238, 103 Stat. 2099, 2103 (8 U.S.C. 1182 note).
    Subparts F and G issued under 8 U.S.C. 1184 and 1288 (c) and 
(d); 29 U.S.C. 49 et seq.; and Pub. L. 103-206, 107 Stat 2419.
    Subparts H and I issued under 8 U.S.C. 1101(a)(15)(H)(i)(b), 
1182(n), and 1184; 29 U.S.C. 49 et seq.; and sec. 303(a)(8), Pub. L. 
102-232, 105 Stat. 1733, 1748 (8 U.S.C. 1182 note).
    Subparts J and K issued under 29 U.S.C. 49 et seq.; and sec. 
221(a), Pub. L. 101-649, 104 Stat. 4978, 5027 (8 U.S.C. 1184 note).

    2. Part 655 is amended by revising subparts F and G to read as set 
forth in the joint interim final rule at the end of the common 
preamble.
Subpart F--Attestations by Employers Using Alien Crewmembers for 
Longshore Activities in U.S. Ports

General Provisions

Sec.
655.500  Purpose, procedure and applicability of subparts F and G of 
this part.
655.501  Overview of responsibilities.
655.502  Definitions.
655.510  Employer attestations.
655.520  Special provisions regarding automated vessels.

Alaska Exception

655.530  Special provisions regarding the performance of longshore 
activities at locations in the State of Alaska.
655.531  Who may submit attestations for locations in Alaska?
655.532  Where and when should attestations be submitted for 
locations in Alaska?
655.533  What should be submitted for locations in Alaska?
655.534  The first attestation element for locations in Alaska: Bona 
fide request for dispatch of United States longshore workers.
655.535  The second attestation element for locations in Alaska: 
Employment of United States longshore workers.
655.536  The third attestation element for locations in Alaska: No 
intention or design to influence bargaining representative election. 


[[Page 3977]]

655.537  The fourth attestation element for locations in Alaska: 
Notice of filing.
655.538  Actions on attestations submitted for filing for locations 
in Alaska.
655.539  Effective date and validity of filed attestations for 
locations in Alaska.
655.540  Suspension or invalidation of filed attestations for 
locations in Alaska.
655.541  Withdrawal of accepted attestations for locations in 
Alaska.

Public Access

655.550  Public access.

Appendix A to Subpart F--U.S. Seaports

Subpart G--Enforcement of the Limitations Imposed on Employers Using 
Alien Crewmembers for Longshore Activities in U.S. Ports
Sec.
655.600  Enforcement authority of Administrator, Wage and Hour 
Division.
655.605  Complaints and investigative procedures.
655.610  Automated vessel exception to prohibition on utilization of 
alien crewmembers to perform longshore activity(ies) at a U.S. port.
655.615  Cease and desist order.
655.620  Civil money penalties and other remedies.
655.625  Written notice, service and Federal Register publication of 
Administrator's determination.
655.630  Request for hearing.
655.635  Rules of practice for administrative law judge proceedings.
655.640  Service and computation of time.
655.645  Administrative law judge proceedings.
655.650  Decision and order of administrative law judge.
655.655  Secretary's review of administrative law judge's decision.
655.660  Administrative record.
655.665  Notice to the Attorney General and the Employment and 
Training Administration.
655.670  Federal Register notice of determination of prevailing 
practice.
655.675  Non-applicability of the Equal Access to Justice Act.

    Signed at Washington, DC, this 6th day of January, 1995.
Robert B. Reich,
Secretary of Labor.

TITLE 29--LABOR

CHAPTER V--WAGE AND HOUR DIVISION, DEPARTMENT OF LABOR
    For the reasons set forth in the preamble, part 506 of Title 29, 
Code of Federal Regulations, is amended as follows:

PART 506--ATTESTATIONS BY EMPLOYERS USING ALIEN CREWMEMBERS FOR 
LONGSHORE ACTIVITIES IN U.S. PORTS

    1. The authority citation for part 506 is revised to read as 
follows:

    Authority: 8 U.S.C. 1288 (c) and (d).

    2. Part 506 is amended by revising subparts F and G to read as set 
forth in the joint interim final rule at the end of the common 
preamble.
Subpart F--Attestations by Employers Using Alien Crewmembers for 
Longshore Activities in U.S. Ports

General Provisions

Sec.
506.500  Purpose, procedure and applicability of subparts F and G of 
this part.
506.501  Overview of responsibilities.
506.502  Definitions.
506.510  Employer attestations.
506.520  Special provisions regarding automated vessels.

Alaska Exception

506.530  Special provisions regarding the performance of longshore 
activities at locations in the State of Alaska.
506.531  Who may submit attestations for locations in Alaska?
506.532  Where and when should attestations be submitted for 
locations in Alaska?
506.533  What should be submitted for locations in Alaska?
506.534  The first attestation element for locations in Alaska: Bona 
fide request for dispatch of United States longshore workers.
506.535  The second attestation element for locations in Alaska: 
Employment of United States longshore workers.
506.536  The third attestation element for locations in Alaska: No 
intention or design to influence bargaining representative election.
506.537  The fourth attestation element for locations in Alaska: 
Notice of filing.
506.538  Actions on attestations submitted for filing for locations 
in Alaska.
506.539  Effective date and validity of filed attestations for 
locations in Alaska.
506.540  Suspension or invalidation of filed attestations for 
locations in Alaska.
506.541  Withdrawal of accepted attestations for locations in 
Alaska.

Public Access

506.550  Public access.

Appendix A to Subpart F--U.S. Seaports

Subpart G--Enforcement of the Limitations Imposed on Employers Using 
Alien Crewmembers for Longshore Activities in U.S. Ports
Sec.
506.600  Enforcement authority of Administrator, Wage and Hour 
Division.
506.605  Complaints and investigative procedures.
506.610  Automated vessel exception to prohibition on utilization of 
alien crewmembers to perform longshore activity(ies) at a U.S. port.
506.615  Cease and desist order.
506.620  Civil money penalties and other remedies.
506.625  Written notice, service and Federal Register publication of 
Administrator's determination.
506.630  Request for hearing.
506.635  Rules of practice for administrative law judge proceedings.
506.640  Service and computation of time.
506.645  Administrative law judge proceedings.
506.650  Decision and order of administrative law judge.
506.655  Secretary's review of administrative law judge's decision.
506.660  Administrative record.
506.665  Notice to the Attorney General and the Employment and 
Training Administration.
506.670  Federal Register notice of determination of prevailing 
practice.
506.675  Non-applicability of the Equal Access to Justice Act.

    Signed at Washington, DC, this 6th day of January, 1995.
Robert B. Reich,
Secretary of Labor.

Appendix B (Not To Be Codified in the CFR): Form ETA 9033-A

    Printed below is a copy of Form ETA 9033-A.

BILLING CODES 4510-30-P, 4510-27-P

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[FR Doc. 95-964 Filed 1-18-95; 8:45 am]
BILLING CODES 4510-30-C, 4510-27-C