DEPARTMENT OF LABOR

Employment and Training Administration

TA-W-85,077

CATERPILLAR, INC.
INTEGRATED MANUFACTURING OPERATIONS DIVISION (IMOD)
INCLUDING ON-SITE LEASED WORKERS FROM VOLT WORKFORCE SOLUTIONS
PULASKI, VIRGINIA

Notice of Negative Determination
After Statutory Reconsideration

As required by the Trade Adjustment Assistance Reauthorization
Act of 2015 (TAARA 2015), which was enacted as Title IV of the
Trade Preferences Extension Act of 2015, Public Law No. 114-27,
section 405(a)(1)(A), the investigation into this petition was
reopened for a reconsideration investigation to apply the
requirements for worker group eligibility under chapter 2 of title
II of the Trade Act of 1974, as amended by the TAARA 2015, to the
facts of this petition (statutory reconsideration).
The initial investigation, initiated February 19, 2014,
resulted in a negative determination, issued on May 2, 2014, that
was based on no import increase and/or shift in production to a
foreign country. The determination was applicable to workers and
former workers of Caterpillar, Inc., Integrated Manufacturing
Operations Division (IMOD), Pulaski, Virginia. The workers’ firm
is engaged in activities related to the production of underground
mining equipment for room and pillar mining. The worker group
includes on-site leased workers from Volt Workforce Solutions.
Based on information reviewed during the statutory
reconsideration investigation, the Department of Labor determines
that imports of articles, shifts in production abroad, or
acquisitions of articles did not contribute importantly to worker
separations. Furthermore the worker group did not qualify as a
secondary worker or was affirmed in a final determination by the
United States International Trade Commission.
With respect to Section 222(a)(2)(A)(ii) of the Act, the
investigation revealed that imports of articles like or directly
competitive with the articles produced by Caterpillar, Inc.,
Integrated Manufacturing Operations Division (IMOD), Pulaski,
Virginia have not increased. The firm did not import underground
mining equipment in 2012 or 2013. Furthermore, a survey was
conducted of the subject firm’s major declining customers
regarding purchases of underground mining equipment for room and
pillar mining in 2012 and 2013. The survey revealed no imports.
Consideration into imports of finished articles was not
considered as the customers did not incorporate the article
purchased from the subject firm.
With respect to Section 222(a)(2)(B) of the Act, the
investigation revealed that the firm did not shift the production
of underground mining equipment for room and pillar mining or a
like or directly competitive article to a foreign country or
acquire underground mining equipment for room and pillar mining
or a like or directly competitive article from a foreign country.
With respect to Section 222(b)(2) of the Act, the
investigation revealed that Caterpillar, Inc., Integrated
Manufacturing Operations Division (IMOD), Pulaski, Virginia is
not a Supplier to a firm that employed a group of workers who
received a certification of eligibility under Section 222(a) of the
Act, 19 U.S.C. § 2272(a).
With respect to Section 222(b)(2) of the Act, the
investigation revealed that Caterpillar, Inc., Integrated
Manufacturing Operations Division (IMOD), Pulaski, Virginia does
not act as a Downstream Producer to a firm that employed a group
of workers who received a certification of eligibility under
Section 222(a) of the Act, 19 U.S.C. § 2272(a).
Finally, the group eligibility requirements under Section
222(e) of the Act, have not been satisfied either because Criterion
(1) has not been met since the workers’ firm has not been publicly
identified by name by the International Trade Commission as a
member of a domestic industry in an investigation resulting in an
affirmative finding of serious injury, market disruption, or
material injury, or threat thereof.

Conclusion
After careful review, I determine that the requirements of
Section 222 of the Act, 19 U.S.C. § 2272, have not been met and,
therefore, deny the petition for group eligibility of Caterpillar,
Inc., Integrated Manufacturing Operations Division (IMOD),
including on-site leased workers from Volt Workforce Solutions,
Pulaski, Virginia, who were engaged in employment related to the
production of underground mining equipment for room and pillar
mining to apply for adjustment assistance, in accordance with
Section 223 of the Act, 19 U.S.C. § 2273.

Signed in Washington, D.C. this 13th day of March, 2016

/s/Hope D. Kinglock
______________________________
HOPE D. KINGLOCK
Certifying Officer, Office of
Trade Adjustment Assistance





DEPARTMENT OF LABOR

Employment and Training Administration

TA-W-85,077

CATERPILLAR, INC.
INTEGRATED MANUFACTURING OPERATIONS DIVISION (IMOD)
INCLUDING ON-SITE LEASED WORKERS FROM VOLT WORKFORCE SOLUTIONS
PULASKI, VIRGINIA

Negative Determinations Regarding Eligibility
To Apply for Worker Adjustment Assistance
And Alternative Trade Adjustment Assistance

In accordance with Section 223 of the Trade Act of 1974, as
amended ("Act"), 19 U.S.C. § 2273, the Department of Labor
herein presents the results of an investigation regarding
certification of eligibility to apply for worker adjustment
assistance.
Workers of a firm may be eligible for worker adjustment
assistance if they satisfy the criteria of subsection (a) and
(b) of Section 222 of the Act, 19 U.S.C. § 2272(a) and (b). For
the Department of Labor to issue a certification for workers
under Section 222(a) of the Act, 19 U.S.C. § 2272(a), the
following three criteria must be met:
(1) The first criterion (set forth in Section 222(a)(1) of the
Act, 19 U.S.C. § 2272(a)(1)) requires that a significant
number or proportion of the workers in such workers' firm,
or an appropriate subdivision of the firm, have become
totally or partially separated, or are threatened to become
totally or partially separated
(2) The second criterion (set forth in Section 222(a)(2) of the
Act, 19 U.S.C. § 2272(a)(2)) may be satisfied in one of two
ways:
(A) Increased Imports Path:
(i) sales or production, or both, at the workers' firm
must have decreased absolutely, AND
(ii) imports of articles like or directly competitive with
articles produced by such firm or subdivision have
increased; and
(iii) the increase described in clause (ii) contributed
importantly to such workers' separation or threat of
separation and to the decline in the sales or
production of such firm or subdivision.

(B) Shift in Production Path:
(i) there has been a shift in production by such workers'
firm or subdivision to a foreign country of articles
like or directly competitive with articles which are
produced by such firm or subdivision; and
(ii)(I) the country to which the workers' firm has
shifted production of the articles is a party to a
free trade agreement with the United States;
(II)the country to which the workers' firm has
shifted production of the articles is a beneficiary
country under the Andean Trade Preference Act, African
Growth and Opportunity Act, or the Caribbean Basin
Economic Recovery Act; or
(III)there has been or is likely to be an increase
in imports of articles that are like or directly
competitive with articles which are or were produced
by such firm or subdivision.

For the Department to issue a secondary worker
certification under Section 222(b) of the Act, 19 U.S.C. §
2272(b), to workers of a Supplier or a Downstream Producer, the
following criteria must be met:
(1) a significant number or proportion of the workers in
the workers' firm or an appropriate subdivision of the
firm have become totally or partially separated, or
are threatened to become totally or partially
separated;

(2) the workers' firm is a Supplier or Downstream Producer
to a firm that employed a group of workers who
received a certification of eligibility under Section
222(a) of the Act, 19 U.S.C. § 2272(a), and such
supply or production is related to the article that
was the basis for such certification; and

(3) either
(A) the workers' firm is a supplier and the component
parts it supplied to the firm described in paragraph
(2) accounted for at least 20 percent of the
production or sales of the workers' firm; or
(B) a loss of business by the workers' firm with the firm
described in paragraph (2) contributed importantly to
the workers' separation or threat of separation.

Section 222(c) of the Act, 19 U.S.C. § 2272(c), defines the
terms "Supplier" and "Downstream Producer."
The investigation was initiated in response to a petition
filed on February 19, 2014 by United Steel Workers (USW), Local
8, on behalf of workers of Caterpillar, Inc., Integrated
Manufacturing Operations Division (IMOD), Pulaski, Virginia. The
workers' firm is engaged in activities related to the production
of underground mining equipment for room and pillar mining. The
worker group includes on-site leased workers from Volt
Workforce Solutions.
The petitioner alleged that the subject firm was closing
because of slowing coal production in the United States and
that underground mining equipment is being manufactured by the
firm in foreign countries. During the course of the
investigation, information was collected from the workers'
firm and the firm's greatest declining customers.
With respect to Section 222(a)(2)(A)(ii) of the Act, the
investigation revealed that imports of underground mining
equipment for room and pillar mining have not increased from
2012 to 2013 or from January 2013 to January 2014. The U.S.
Department of Labor surveyed the subject firm's greatest
declining customers regarding their imports of articles like
or directly competitive with underground mining equipment for
room and pillar mining during the period under investigation.
The surveys did not reveal increased customer imports of like
or directly competitive articles.
With respect to Section 222(a)(2)(B) of the Act, the
investigation revealed that the workers' firm did not shift the
production of underground mining equipment for room and pillar
mining to a foreign country during 2012, 2013, or 2014. Rather,
the investigation revealed that although Caterpillar, Inc.
operates manufacturing facilities in foreign countries, these
facilities do not produce like or directly competitive products
as the Pulaski, Virginia facility and the foreign operations did
not contribute importantly to the worker group separations. The
investigation confirmed that the worker separations are
attributable to the consolidation of the firm's production lines
with other facilities within the United States.
With respect to Section 222(b)(2) of the Act, the
investigation revealed that Caterpillar, Inc. is not a
Supplier or Downstream Producer to a firm that employed a group
of workers who received a certification of eligibility under
Section 222(a) of the Act, 19 U.S.C. § 2272(a).
In order for the Department to issue a certification of
eligibility to apply for alternative trade adjustment assistance
(ATAA), the worker group must be certified eligible to apply for
trade adjustment assistance. Since the workers are denied
eligibility to apply for TAA, the workers cannot be certified
eligible for ATAA.
Conclusion
After careful review of the facts obtained in the
investigation, I determine that all workers of Caterpillar,
Inc., Integrated Manufacturing Operations Division (IMOD),
including on-site leased workers from Volt Workforce Solutions,
Pulaski, Virginia engaged in activities related to production
of underground mining equipment for room and pillar mining are
denied eligibility to apply for adjustment assistance under
Section 223 of the Trade Act of 1974, as amended, and are also
denied eligibility to apply for alternative trade adjustment
assistance under Section 246 of the Trade Act of 1974, amended.

Signed in Washington, D.C. this 2nd day of May, 2014.


/s/Michael W. Jaffe
______________________________
MICHAEL W. JAFFE
Certifying Officer, Office of
Trade Adjustment Assistance