Trade 101 - A Summary of the Trade Adjustment Assistance for Workers Program
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Trade 101 - A Summary of the Trade Adjustment Assistance for Workers Program

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This presentation provides an overview of the Trade Adjustment Assistance for Workers program of the U.S. Department of Labor. This material covers the 2002, 2009 and 2011 versions of the program ...

This presentation provides an overview of the Trade Adjustment Assistance for Workers program of the U.S. Department of Labor. This material covers the 2002, 2009 and 2011 versions of the program including: TAA, TRA, A/RTAA, HCTC, program reporting and financial management.

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    Trade 101 - A Summary of the Trade Adjustment Assistance for Workers Program Trade 101 - A Summary of the Trade Adjustment Assistance for Workers Program Presentation Transcript

    • Employment and Training Administration Region 1 (#ETARegion1) November 2013 v.1.75
    • United States Department of Labor Mission Statement To foster, promote, and develop the welfare of the wage earners, job seekers, and retirees of the United States; improve working conditions; advance opportunities for profitable employment; and assure work-related benefits and rights. www.dol.gov/100 2
    • Materials Overview  Alphabet Soup  A Brief History of Trade Act Legislation  Trade Adjustment Assistance Programs  Trade Adjustment Assistance for Workers 3
    • There‟s an acronym for that. Alphabet Soup 4
    • Alphabet Soup Speaking the Language of Trade ATAA = Alternative Trade Adjustment Assistance Adjustment Assistance CSA = Cooperating State Agency TAA = Trade Adjustment Assistance for Workers DEV = Data Element Validation TAPR = Trade Act Participant Report DOL = U.S. Department of Labor TEGL = Training and Employment Guidance Letter DW = WIA Dislocated Worker program ES = Employment Service TEN = Training and Employment Notice ETA = Employment & Training Administration TRA = Trade Readjustment Assistance GSA = Governor Secretary Agreement UI = Unemployment Insurance HCTC = Health Coverage Tax Credit UIPL = Unemployment Insurance Program Letter NAICS = North American Industrial Classification System NEG = National Emergency Grant OTAA = Office of Trade Adjustment Assistance ITC = International Trade Commission WIA = Workforce Investment Act RR = Rapid Response RTAA = Reemployment Trade 5
    • It‟s always best to begin at the beginning. A Brief History of Trade 6
    • Trade Act Origins & Major Legislation  1962 – Trade Expansion Act of 1962 – Provided TRA payments in addition to UI  1974 – Trade Act of 1974 – Established a training benefit  1988 – Omnibus Trade and Competitiveness Act of 1988 – Established TAA training as a requirement for receipt of TRA  1993 – North American Free Trade Agreement (NAFTA) – Established the precedent for enrollment deadlines 7
    • Trade Act Origins & Major Legislation  2002 – Trade Reform Act of 2002 – – – – – – Established HCTC Established ATAA as a demonstration project Expanded applicability of enrollment deadlines Expanded eligibility to secondarily impacted worker groups Provided additional weeks of TRA for Remedial training Up to 130 weeks of approved training  2009 – Trade and Globalization Adjustment Assistance Act of 2009 – Expanded eligibility to service sector workers and public sector workers – Extended weeks of Additional TRA – Established RTAA as a permanent program and expanded benefits – Provided additional weeks of TRA for prerequisite courses – Up to 156 weeks of approved training 8
    • Trade Act Origins & Major Legislation  2011 – Trade Adjustment Assistance Extension Act of 2011 – – – – – – Ended eligibility for public-sector worker groups Removed Remedial and Prerequisite TRA Established Completion TRA Maximum length of approvable training set at 130 weeks Reduced benefit levels under RTAA Established the same HCTC rate for all eligible Trade participants – Set January 1, 2014 as the expiration date of HCTC – Reduced types of training waivers for TRA eligibility 9
    • And you get a Trade program! And you get a Trade program! Trade Adjustment Assistance Programs 10
    • Trade Adjustment Assistance…  for Firms (http://www.taacenters.org/) – Administered by the Economic Development Administration (EDA) • Provided through a series of non-profit grantees – Provides matching funds to employers to increase efficiency, expand exporting capacity and increase overall competitiveness  for Farmers (and Fishermen) http://www.taaforfarmers.org/ – Administered by the United States Department of Agriculture (USDA) • Provided through a series of non-profit grantees – Technical assistance and cash benefits to producers of certified commodities 11
    • Trade Adjustment Assistance…  for Communities – Administered by EDA • One-time awards to communities impacted by Trade • Based on certifications under TAA for Workers – Administered by the United States Department of Labor (http://www.doleta.gov/taaccct/) • Capacity-building grants to the community and technical college system (FY2011-FY2014) • Known as TAACCCT grants (Trade Adjustment Assistance Community College and Career Training) 12
    • Trade Adjustment Assistance…  for Workers – Helps workers who have lost their jobs as a result of foreign trade. The program offers a variety of benefits and services to eligible workers, including:      job training job search and relocation allowances income support (TRA) a tax credit to help pay the costs of health insurance (HCTC) a wage supplement to certain reemployed tradeaffected workers 50 years of age and older (ATAA/RTAA) 13
    • Heigh ho, heigh ho, it‟s into the weeds we go! Trade Adjustment Assistance for Workers 14
    • TAA for Workers Materials Overview • Petition Process / Worker Group Eligibility • Training • TRA – General Qualifications – Basic TRA, Additional TRA, Remedial TRA – Waivers – Completion TRA • Enrollment Deadlines – Federal Good Cause & Equitable Tolling • Case Management and Related Services • RTAA (and ATAA) • Job Search and Relocation • Financial Management of the Trade Program • Program Reporting Requirements and Data Validation • Sunset Provisions and Program Reversion • References, Guidance and Contacts 15
    • Because who doesn‟t love government forms? Petition Process & Worker Group Eligibility 16
    • Filing Petitions Online at www.doleta.gov/tradeact Fax to: (202) 693-3585 Mail to: U.S. Department of Labor, Office of Trade Adjustment Assistance 200 Constitution Avenue, NW, Room N-5428 Washington, DC 20210 17
    • Who Can File a Petition?      Group of 3 or more workers Company Official Union State Workforce Official American Job Center Network Partner – Rapid Response, Employment Service, Unemployment Insurance, WIA provider, etc. 18
    • Petition Processing  Upon receipt of petition, investigators contact the company  Gather information on locations, temp workers, remote workers, divisions within company  Company provides information on a confidential basis to the Department  Investigator recommends decision to a Certifying Officer who issues the decision  States ensure the provision of Rapid Response services, if not already provided  Process takes approximately 40 days 19
    • Appealing Petition Denials 1. request administrative reconsideration of the determination; 2. seek judicial review of the determination; and/or, 3. seek reemployment services from other programs through the American Job Center Network (ie: WIA, NEG, ES) 20
    • Worker Group Eligibility (2002)  Primary - Workers in firms that produce articles, based on: 1. increased imports of like or directly competitive articles; or, 2. shifts in production of articles to certain foreign countries; or, • Country is party to a free trade agreement with the US • Countries include in: Andean Trade Preference Act, African Growth and Opportunity Act, Caribbean Basin Economic Recovery Act – Does not include China, India, or most of Asia or Europe 21
    • Worker Group Eligibility (2002)  Upstream (Secondary) 1. Firm that produces and supplies component parts directly to another firm 2. Component parts must be directly incorporated into articles that were the basis of certification for primary workers – Primary workers must be certified – Separations (or threat) at secondary firm – In addition, one of the following must be true: • Component parts accounted for at least 20% of upstream producer‟s production or sales • Loss of business contributed importantly to workers‟ actual or threatened separation 22
    • Worker Group Eligibility (2002)  Downstream (Secondary) 1.Firm that performs additional, value-added production processes directly for a firm for articles that were basis of certification 2.Downstream production can include final assembly or finishing – Must meet the following criteria: • Separations (or threat) at secondary firm • Loss of business with primary firm must have contributed importantly to separations at secondary firm • Applies only to primary certifications based on increased imports from or shift in production to Canada or Mexico 23
    • Worker Group Eligibility (2009/2011)  Affected Workers may include workers in firms that produce articles and workers in service sector firms, based on: 1. increased imports of like or directly competitive articles or services; or, 2. increased imports of a finished article for which the workers‟ firm produces component parts or supplies services; or, 3. increased imports of articles directly incorporating foreign components that are like or directly competitive with the component parts made by U.S. workers; or, 4. shifts in production of articles or supply of services to any foreign country; or, 5. workers in firms that supply component parts or services to firms with TAA-certified workers or perform additional, value-added production processes to firms with TAA-certified workers; or, 6. workers in firms identified in International Trade Commission “injury” determinations NOTE: Certifications under 2011 are limited to the private sector 24
    • Worker Group Eligibility Matrix Program Version Manufacturing Services Public Sector Shift in Production / Secondary Certs 2002 YES NO NO Limited Countries 2009 YES YES YES Any Country 2011 YES YES NO Any Country Reverted 2002 YES NO NO Limited Countries 25
    • “I was training to be an electrician. I suppose I got wired the wrong way round somewhere along the line.” - Elvis Presley Training 26
    • Mission of Training Trade‟s Axiom: The least amount of training at the lowest reasonable cost in the shortest amount of time to obtain the skills, credentials, resources, and support necessary to become reemployed. 27
    • 6 Criteria for Approval of Training 1. There is no suitable employment (which may include technical and professional employment) available for the adversely affected worker. 2. The worker would benefit from appropriate training. 3. There is a reasonable expectation of employment following completion of such training. 4. Training approved by the Secretary is reasonably available to the worker from either governmental agencies or private sources. 5. The worker is qualified to undertake and complete such training. 6. Such training is suitable for the worker and available at a reasonable cost. 28
    • Suitable Employment Suitable employment is defined as work of a substantially equal or higher skill level than their past adversely affected employment and with a wage of at least 80% of the worker‟s prior average weekly wage. • A job, known to be short duration or temporary in nature, is not considered suitable 29
    • Exclusions 20 CFR 617.23(d)(3) • Exclusions. In determining suitable training the State agency shall exclude certain occupations, where: – (i) Lack of employment opportunities exist as substantiated by job orders and other pertinent labor market data; or – (ii) The occupation provides no reasonable expectation of permanent employment. 30
    • Training Prior to Separation (2009/2011) Training may be approved before separation for adversely affected incumbent workers. The incumbent worker must be someone who: 1. Is a member of a group of workers that has been certified as eligible to apply for TAA benefits 2. Has not been totally or partially separated from employment, and 3. Is determined to be individually threatened with total or partial separation (will be monitored via case management). 31
    • One Training Per Certification  A worker may only be approved for one training program per certification.  Therefore, a training program begun prior to separation counts as that one training program, and the training plan should be designed to meet the long-term needs of the worker.  A training plan may be modified  See TEGL 10-11, Change 2 Q8 Note: A training program may be comprised of several training components (i.e.: remedial training first, then vocational training, may also combine classroom and OJT) 32
    • Training - Guidance  There is no entitlement under Trade to receive training. – All 6 criteria must be met before training can be approved  There is no entitlement to receive the maximum number of weeks of training.  When approving training, CSAs must look at the requirements for the occupation as found on O*NET and actual job postings – Additional add-ons and other certifications not listed in job postings are not always appropriate • Training may be approved for a period longer that an individuals eligibility for TRA – Worker must demonstrate a financial ability to complete the training. 33
    • Full-Time vs Part-Time Training  2002 – 617.22 (f)(4) • Full-time training. Individuals in TAA approved training shall attend training full time, and when other training is combined with OJT attendance at both shall be not less than full-time. The hours in a day and days in a week of attendance in training shall be full-time in accordance with established hours and days of training of the training provider.  2009 / 2011 – Allows for part-time training • TRA is not payable if the individual participants in part-time TAA-approved training 34
    • Length of Training  2002 – The maximum length of Trade-approved training is 130 weeks  2009 – The maximum length of Trade-approved training is 156 weeks  2011 – The maximum length of Trade-approved training is 130 weeks 35
    • Breaks in Training  2002 / 2009 / 2011 – Up to 30 days allowed – Additional TRA may not be paid for breaks longer than 30 days  Training plans should seek to avoid breaks  Unscheduled breaks are not the same thing  Excludes weekends and holidays unless training would normally have occurred on those days 36
    • Training Matrix Program Maximum Weeks of Approved Training Part-Time Training Allowable Breaks in Training (Days) Remedial Training / Prerequisite Courses Online Training 2002 130 NO 30 YES YES 2009 156 YES 30 YES YES 2011 130 YES 30 YES YES Reverted 2002 130 NO 30 YES YES 37
    • Training-Related Costs  Allowable – All tuition & fees; – Books, uniforms, supplies, equipment – Transportation costs (mileage, mass transit, parking) – Laptops and software may be purchased if they are required for all students by the institution for the approved training program – Health insurance premium costs, if all students are required to carry health insurance and they are not otherwise covered – Initial professional licensing fees and licensing exam fees  Not Allowable (under TAA funds) – Child care, Auto repair, etc. • Allowable under WIA, NEG and other partner programs 38
    • “…those injured by that competition should not be required to bear the full brunt of the impact.” - JFK Trade Readjustment Assistance (TRA) and Training Waivers 39
    • Qualifying TRA Requirements An individual must:  Be an adversely affected worker;  Have a first qualifying separation occur on or after the impact date of the certification & before the expiration of the 2-year period beginning on the date of certification;  Have 26 weeks of employment at wages of $30 or more a week in adversely affected employment with a single firm or subdivision of the firm in a 52-week period ending with the week of the first qualifying separation; and,  The individual must have been entitled to (or would have been entitled had they applied) UI for a week within the benefit period of the individual's first qualifying separation 40
    • Qualifying TRA requirements (cont.)  Have exhausted all rights to UI to which the individual was entitled: (1) Accept any offer of suitable work & apply for any suitable work the individual is referred by a State, & (2) actively engage in seeking work & provide tangible evidence of such efforts, & (3) register for work and be referred by the state agency to suitable work, [until they are enrolled in training] AND (1) be enrolled in or participating in a TAA approved training program approved by the state agency, or (2) have completed a TAA approved training program approved by State agency after a total or partial separation from adversely affected employment (3) have received from the state agency a written statement waiving the TAA participation-in-training requirement [617.11(a)(2)(i)–(iv)] 41
    • Basic TRA  Payable only upon exhaustion of UI benefits  52 weeks minus UI  Including all state and Federal benefits  Participant must be in full-time training or on a waiver from training  Participant must meet the enrollment deadline  8/16 for 2002  26/26 for 2009/2011 42
    • Additional TRA  A worker can receive the additional weeks of TRA only if they are participating in approved training (including allotted breaks in training)  In order to receive additional benefits, workers must have met the enrollment deadline  2002 - If an individual becomes entitled to UI after commencing receipt of TRA, then they must exhaust their UI; their eligibility period continues to run  2009/2011 - If an individual becomes entitled to UI after commencing receipt of TRA, they may elect to remain on TRA instead of having to exhaust their UI; 43
    • Remedial TRA (2002/2009)  Benefit available for those who need remedial education to facilitate reemployment  Leads to employment or training  Remedial education can occur concurrently with other training  Example: Basic math & writing skills, English as a second language, GED, etc.  Up to 26 weeks of Remedial TRA payments may be provided  TRA payments for remedial education weeks are made at the end of the “regular” TRA period  Brings total available weeks of benefits to 130/156  See TEGL 13-05 for additional guidance on remedial training 44
    • Remedial / Prerequisite TRA (2009)  Benefit available for those who need remedial education to facilitate reemployment or prerequisite courses needed before occupational training can begin  Leads to employment or training  Remedial education can occur concurrently with other training  Remedial Example: Basic math & writing skills, English as a second language, GED, etc.  Prerequisite Example: English 101 before English 201, etc.  Up to 26 weeks of prerequisite / remedial TRA payments may be provided  TRA payments for remedial education weeks are made at the end of the “regular” TRA period  Brings total available weeks of benefits to 156 45
    • Remedial / Prerequisite TRA (2011)  The 2011 amendments eliminated Remedial TRA as a “category” of TRA, although remedial and prerequisite training should continue to be part of an approved training plan where appropriate  However, the inclusion of remedial and prerequisite training in a worker‟s training plan will no longer result in the worker‟s eligibility for up to 26 additional weeks of TRA 46
    • TRA and Training Waivers 2002  52 weeks of Basic TRA (reduced by any UI received) 2009  52 weeks of Basic TRA (reduced by any UI received) 2011  52 weeks of Basic TRA (reduced by any UI received)  52 weeks in 52 of Additional TRA  78 weeks in 91 of Additional TRA   Remedial TRA may account for 26 weeks  Remedial or  Prerequisite TRA may account for 26 weeks Completion TRA may account for 13 weeks  Six Training Waivers Three Training Waivers  Six Training Waivers  65 weeks in 78 of Additional TRA 47
    • Criteria for Waiving Training Requirement  2002 and 2009 TAA Programs  Six Criteria  2011 TAA Program  Three Criteria  Health Condition  Health Condition  Enrollment in Training is Not Available  Enrollment in Training is Not Available  Training Not Available  Training Not Available  Recall  Marketable Skills  Retirement 48
    • Training Waivers (2002/2009 Only)  Recall – The worker has been notified that the worker will be recalled by the firm from which the separation occurred.  Marketable Skills – The worker possesses marketable skills for suitable employment (as determined pursuant to an assessment of the worker, which may include the profiling system under section 303(j) of the Social Security Act (42 U.S.C. 503(j)), carried out in accordance with guidelines issued by the Secretary) and there is a reasonable expectation of employment at equivalent wages in the foreseeable future.  Retirement – The worker is within 2 years of meeting all requirements for entitlement to either –  (i) old-age insurance benefits under title II of the Social Security Act (42 U.S.C. 401 et. seq.) (except for application therefor); or  (ii) a private pension sponsored by an employer or labor organization. 49
    • Remaining Training Waivers Under 2011 Act (Also allowable under 2002/2009)  Health – The worker is unable to participate in training due to the health of the worker, except that this basis for a waiver does not exempt a worker from the availability for work, active search for work, or refusal to accept work requirements under Federal or State unemployment compensation laws.  Enrollment Unavailable – The first available enrollment date for the worker‟s approved training is within 60 days after the date of the training determination, or, if later, there are extenuating circumstances for the delay in enrollment, as determined under guidance issued by the Secretary.  Training Not Available – Training approved by the Secretary is not reasonably available to the worker from either governmental agencies or private sources (which may include area vocational schools as defined in section 3 of the Carl D. Perkins Vocational and Technical Education Act of 1998 (20 USC 2302) and employers), no suitable training for the worker is available at reasonable cost, or no training funds are available. 50
    • Earnings Disregard (2009/2011)  For adversely affected workers in full-time, Tradeapproved training:  No deduction is made for earnings from work for a week up to an amount that is equal to the worker‟s most recent UI benefit amount  A state‟s disqualifying income provisions only apply to the earnings in excess of the participant‟s weekly benefit amount 51
    • TRA Election Provision (2009/2011) • Allows adversely affected workers to elect TRA instead of UI where: – 1) The worker is entitled to receive UI as a result of a new benefit year based in whole or in part upon part-time or short-term employment in which the worker engaged after the worker‟s most recent total separation from adversely affected employment This provision will affect only the benefit computation for workers who are participating in full-time training other than on-the-job training – 2) The worker is otherwise entitled to TRA. 52
    • TRA Election Provision (2009/2011) 53
    • TRA Election Provision: Example 1 54
    • TRA Election Provision: Example 2 55
    • Introduction of Completion TRA (2011)  New category of TRA aligns with the Department‟s larger aim to increase the successful completion of recognized credentials  Provides participants with up to 13 more weeks of TRA within a 20 week period in order to complete training plan  Conditions of Completion TRA: – The requested weeks are necessary for the worker to complete a training program that leads to a degree or industry-recognized credential; as described in TEGL No. 15-10, and; – The worker is participating in training in each such week; and – The worker has substantially met the performance benchmarks established in the approved training plan (see section C.3.1); and – The worker is expected to continue to make progress toward the completion of the approved training; and – The worker will be able to complete the training during the period authorized for receipt of Completion TRA 56
    • 2011 Program Benefits: TRA Timeline 130 Payable Weeks over a 150 Week period Basic TRA Unemployment Insurance Impact Date Lay Off Additional TRA Completion TRA 26 Weeks 52 X WBA 65 Weeks Payable in 78 Weeks 13 Weeks Payable in 20 Weeks Certification TRA Exhausted Until one month after last service or benefit HCTC Eligible 2 1/2 Years 57
    • TRA Timeline: Real-World Operations Dec. 31, 2013 HCTC Ends 58
    • Training Benchmarks (2011)  Reviews conducted at no later than 60 day intervals from the start of the training plan  Documented in IEP and signed by participant  Two Evaluation Criteria  Satisfactory academic standing  On track to complete training within the agreed upon timeframe  Encourages early intervention and modification of unsuccessful training plans  Supports modification measures in order to increase training completion and credentials 59
    • Training Benchmarks (2011)  Required for Completion TRA eligibility  Must be established at the beginning of all training programs- except for very short training programs  In general, any training program over three months in duration should have benchmarks established to allow for quality case management opportunities and intervention as needed.  Encouraged because they strengthen case management efforts  Requires strong information sharing between TRA and case managers 60
    • Training Benchmarks (2011) Participant Served under 81,000 petition (meets benchmarks) 130 weeks of training IEP Developed with benchmark requirements documented and signed Up to 15 benchmark reviews through point of Completion TRA eligibility Completion TRA begins Participant Served under 81,000 petition (fails benchmarks) IEP Developed with benchmark requirements documented and signed 2nd Participant may continue in original approved plan with no Completion TRA Failure Modified plan may include Completion TRA eligibility Participant fails one of two benchmarks Revise plan Modify IEP 61
    • Additional TRA Matrix Program Total Weeks Payable Payable TRA Within Election (Weeks) Earnings Remedial / Disregard Prerequisite TRA (Weeks) Completion TRA (Weeks) 2002 52 52 NO NO YES (26) NO 2009 78 91 YES YES YES (26) NO 2011 65 78 YES YES NO YES (13) Reverted 2002 65 78 NO NO NO YES (13) 62
    • Appeals  Trade appeals follow the UI appeals process – TAA, TRA, RTAA  State required to notify ETA of all appeals – Technically, states are required to notify ETA of every decision rendered under Trade – 20 CFR 617.52(c)  Unlike regular UI, ETA has the authority to demand additional appeals to higher levels (i.e.: courts) – 20 CFR 617.52(c) 63
    • “A goal is a dream with a deadline.” – Napoleon Hill Enrollment Deadlines 64
    • 8/16 Week Deadline (2002)  Participant must be enrolled in training no more than: – – – – – 8 weeks from the date of the petition certification; OR 16 weeks from the worker‟s most recent total separation from adversely affected employment 45-day “extenuating circumstance” extension is possible No good cause exceptions allowed Equitable tolling is permissible  TRA eligibility: – – – From TEGL 11-02, Change 3, the above does not apply to be eligible for TRA, if the determination is made before the training deadlines. A worker may receive TRA prior to the 8/16 if all other eligibility has been met in the Section 231(a) of the Act. Once the enrollment deadline (8/16), is reached the training requirement must be met: enrolled in training or receipt of a waiver. 65
    • 26/26 Week Deadline (2009/2011)  Participant must be enrolled in training no more than: – – – – – 26 weeks from the date of the petition certification; OR 26 weeks from the worker‟s most recent total separation from adversely affected employment 45-day “extenuating circumstance” extension is possible Good Cause • 2009: State good cause provisions allowable • 2011: Federal good cause provision allowable Equitable tolling also possible  TRA eligibility: – – – From TEGL 11-02, Change 3, the above does not apply to be eligible for TRA, if the determination is made before the training deadlines. A worker may receive TRA prior to the 26/26 if all other eligibility has been met in the Section 231(a) of the Act. Once the enrollment deadline (26/26), is reached the training requirement must be met: enrolled in training or receipt of a waiver. 66
    • Deadlines – Intent TEGL 11-02 – “These deadlines may be waived for specified reasons… However, the intent of the time limitations is that adverselyaffected workers who are in need of training be enrolled in training quickly in order to expedite their adjustment and reemployment.” 67
    • “Enrolled in Training”  20 CFR 617.11(a)(2)(vii)(D) – “Enrolled in training” means that the worker‟s application for training has been approved by the CSA and that the training institution has furnished written notice to the CSA that the worker has been accepted into the approved program which is to begin within 30 days of such approval.  Once “enrolled in training,” a participant is no longer subject to the EB work test 68
    • Death and taxes. The only two rules without exceptions. Federal Good Cause & Equitable Tolling 69
    • Highlights for Federal Good Cause  Effective with the 2011 Program  A waiver for good cause of the time limitations “with respect to an application for TRA or enrollment in training” means:  26/26 week enrollment in training deadline  Same application as “state good cause” under 2009 Program  TEGL 10-11 provides specific guidance 70
    • Federal Good Cause and Equitable Tolling are Separate and Distinct Provisions Federal Good Cause Equitable Tolling Statutory Yes No Program Applicable ONLY under the 2011 Program Available in 2002, 2009 and 2011 Programs Deadlines Can be applied ONLY to application for TRA and enrollment in training Applies to any TAA deadline How applied: After considering conditions found in TEGL 10-11 Available only in egregious circumstances where an individual acted with due diligence (TEGL 8-11) When Available Effective with 2011 Act Effective with issuance of TEGL: October 19, 2011 71
    • “The purpose of these employment and case management services is to provide workers the necessary information and support for them to achieve sustainable reemployment.” – TEGL 22-08 Case Management and Related Services 72
    • Case Management  2002  Requires cooperating state agencies (CSAs) to, “make every reasonable effort,” to provide case management services through co-enrollment in ES, WIA, NEG or other partner programs  Assessments and labor market analysis still required prior to approval of training  2009/2011  Requires that case management services be provided to all adversely affected workers and adversely affected incumbent workers  These services are not optional.  Provision of services must be documented  Trade funds are provided to support these services  Co-enrollment is still appropriate and highly recommended  Trade participants are, by definition, dislocated workers under WIA 73
    • Case Management  Required Services (2009/2011)  Comprehensive and specialized assessment of skill levels and service needs;  Development of an individual employment plan to identify employment goals  Information on:  training available in local and regional areas, information on  individual counseling to determine which training is suitable training, and  how to apply for such training  how to apply for financial aid  Short-term prevocational services  development of learning skills, communications skills, interviewing skills, punctuality, personal maintenance skills, and professional conduct 74
    • Case Management  Required Services (2009/2011)  Individual career counseling, including job search and placement counseling, during the period in which the individual is receiving a trade adjustment allowance or training under this chapter, and after receiving such training for purposes of job placement.  Provision of employment statistics information, including the provision of accurate information relating to local, regional, and national labor market areas  Information relating to the availability of supportive services, including services relating to child care, transportation, dependent care, housing assistance, and need related payments that are necessary to enable an individual to participate in training  aka: Support services available through WIA and other partner programs or local community organizations 75
    • Merit Staffing Requirement 20 CFR 618.890 – Staff funded under Trade funds must be state merit staff (except MA, MI & CO) – Does not apply to non-inherently governmental functions (OMB Circular A-76) – See TEGL 15-12 for more info 76
    • Case Management & Related Costs Page A-50, TEGL 22-08  “In addition to staff costs for career counselors, the „employment and case management services‟ funds may be used for: assessment tests; skills transferability analysis; peer counselors; development and provision of labor market information; maintenance and enhancement of electronic case management systems to allow for improved case management services; information on available training, including provider performance and cost information; and, any other staff costs related to case management. This list is not intended to be all inclusive.” 77
    • Trade Funds Can Pay For…  Operating costs of American Job Centers  MIS development, appropriate upgrades and maintenance  Supplies and equipment  Assessments, labor market information, career counseling  2002 program does not provide funds for case management and related costs  … and other costs not listed here … 78
    • “It's just a job. Grass grows, birds fly, waves pound the sand. I beat people up.” - Muhammad Ali Reemployment Trade Adjustment Assistance (RTAA) 79
    • What is the RTAA program? • Wage supplement program for workers age 50 and over • May be employed full or part-time – Full-time employment as defined by applicable state law – Part-time only allowable under 2009/2011 • If in part-time, must also be in training • May be combined with training (2009/2011) • Can receive RTAA after TRA – Weeks of TRA are deduced from RTAA benefit • Cannot receive TRA after RTAA 80
    • RTAA Basics  50% of difference between reemployment wages and wages earned at separation  Payments may not last more than 2 years  Total payments may not exceed $10,000  ($12,000 under 2009 rules)  Health Coverage Tax Credit (HCTC)  Only while receiving RTAA payment  Group eligibility is automatic with certification of a Trade petition 81
    • ATAA Basics • Separate request for group eligibility under ATAA must be filed with each Petition • Only full-time employment is allowable • May not be combined with training • Must be reemployed within 26 weeks of separation 82
    • RTAA / ATAA Matrix Program Full Time Employment Part Time Employment Training + RTAA Maximum Amount 2002 – ATAA YES NO NO $10,000 2009 – RTAA YES YES YES $12,000 2011 – RTAA YES YES YES $10,000 Reverted 2002 YES NO NO $10,000 83
    • Where the jobs are. Job Search and Relocation 84
    • Job Search • To cover allowable costs related to travel outside of a participant‟s commuting area to seek suitable employment – Usually related to job interviews. – Must be within the “United States” • Limited to the 50 states, DC & Puerto Rico – Must be pre-approved by the state 85
    • Job Search Benefit Amount • Under 2011, benefits are available at the 2002 benefit level and in accordance with the regulations of 20 CFR 617.48 and 617.49 – 90% of allowable costs up to $1,250 – May included multiple trips – Governed by Federal Travel Regulations at 41 CFR §301 • Under 2009, benefits are available as defined in TEGL 22-08 – 100% of allowable costs up to $1,500 – May included multiple trips – Governed by Federal Travel Regulations at 41 CFR §301 86
    • Relocation • To cover allowable costs to relocate a participant, their immediate family and their household goods to suitable employment outside of their commuting area – Limited to the 50 states, DC & Puerto Rico – Must be pre-approved by the state 87
    • Relocation Benefit Amount • Under 2011, benefits are available at the 2002 benefit level and in accordance with the regulations of 20 CFR 617.48 and 617.49 – 90% of allowable costs – Lump sum payment up to $1,250 – Governed by Federal Travel Regulations at 41 CFR §302 • Under 2009, benefits are available as defined in TEGL 22-08 – 100% of allowable costs – Lump sum payment up to $1,500 – Governed by Federal Travel Regulations at 41 CFR §302 88
    • Take two of these and call me in the morning. Health Coverage Tax Credit (HCTC) 89
    • Health Coverage Tax Credit (HCTC)  HCTC covers 72.5% of qualifying health insurance premium costs regardless of which version of the Trade program a participant is certified under  HCTC is a program operated by the Internal Revenue Service, not the US DOL  HCTC is available as an advanced (real-time) or end-of-year tax credit  HCTC is set to expire on December 31, 2013  There is a gap on enrollment in the advance program of 1 to 2 months.  Some states have National Emergency Grants available to cover this gap  These NEGs also expire no later than December 31, 2013 90
    • Follow the money. Financial Management 91
    • Trade Funding Types • TAA = Training, job search, relocation, case management & related costs • TRA = Income support benefits • A/RTAA = Wage insurance payments 92
    • Funding for FY 2012 and FY2013 RTAA TRA Admin Job Search & Relocation Case Management Training Uncapped Funds Consolidated Allocation $575M CAP Conditions: Up to 10% of Consolidated Allocation may be used for Administration Not less than 5% of Consolidated Allocation must be used for Case Management 93
    • Recapture and Financial Reporting  DOL may recapture funds from States with remaining unobligated funding (2009/2011)  DOL may distribute recaptured funds to States in need of additional funding (2009/2011)  2002 program does not have a recapture provision  Trade-specific ETA-9130 now in use 94
    • TAA Program, Case Management and Admin How much can I spend for what? • Be mindful of funding source – must be an allowable activity under that funding stream to be charged to the grant • Citations: Trade Act 235(A)(1)(6); TEGL 22-08 Section G(2) and G(3); TEGL 1011; 20 CFR 618 95
    • Funding Status Issues / Recommended Practices • 3 Year Money – Different Law = Different Restrictions – Proper cost allocation • Expiration and Closeout – Shifting pots – Proper cost allocation 96
    • Mean, and median, and mode! Oh, my! Program Reporting Requirements 97
    • Trade Act Participant Report (TAPR) • A “flat file” of participant and exiter information • Submitted quarterly by each state • Includes performance, services, benefits and financial information • Similar to the WIASRD / WISPR submissions for WIA 98
    • TAPR Performance & Service Highlights PY2012  105,115 total participants in PY2012  38% (40,198) received training  3.6% (3,819) A/RTAA participants  The average Trade participant is a 47 year-old, white male with no more than a high school diploma who has been employed in trade-impacted employment for 18 years  Top 4 NAICS codes of employment after exit reported via the TAPR: # of Exiters % of Exiters NAICS Description 4,876 13.8% 5613 Employment Services 1,145 3.2% 6221 General Medical and Surgical Hospitals 892 2.5% 3363 Motor Vehicle Parts Manufacturing 624 1.8% 6111 Elementary and Secondary Schools 99
    • TAPR Performance & Service Highlights PY2012  The average duration of training is 542 days  22% of training exiters received remedial training  Only 1.2% of training exiters nationally were enrolled in an OJT  Nebraska = 11%, New Hampshire = 9%  74% of exiters enrolled in training, completed training Entered Employment Rate 80 75 70 65 All Co-Enroll Training Credential 100
    • Data Element Validation (DEV)  DEV conducted annually  No additional annual report is required under Trade  DEV completed by the states using the file submitted for June 30 of each year  ETA Regional Offices review Trade DEV results during our regular DEV review cycle for WIA and Wagner-Peyser  FY2013 is the first DEV performance under Trade since 2009  A data integrity review has been conducted in lieu of the annual DEV requirement  Data integrity efforts will continue on a quarterly basis 101
    • To be continued? Sunset Provisions & Program Reversion 102
    • Sunset Provisions & Reversion • 2011 Amendments sunset on December 31, 2013 • The TAA Program will revert back to a modified version of the 2002 Amendments (on next slide) • The “reverted TAA program” is authorized from January 1, 2014 through December 31, 2014 103
    • “Reverted” Program • No Trade funds available for case management or related costs – Costs will need to be covered under ES, WIA, NEG or other American Job Center partner programs • The elimination of three training waivers – Health, Enrollment Not Available and Training Not Available will continue to be the only allowable waivers • No Remedial/Prerequisite TRA available • Completion TRA remains available • 8/16 Week Deadline Re-established • No Earnings Disregard for TRA • No Election Provision for TRA • Service sector workers no longer eligible for certification • Shift in production certifications limited to certain countries 104
    • Program Element Matrix 2002 2009 2011 Reversion Service Workers Eligible NO YES YES NO Limited Countries for Shift in Production Cert. YES NO NO YES Maximum Length of Training (Weeks) 130 156 130 130 Part-time Training Allowable NO YES YES NO Earnings Disregard and TRA Election Provisions NO YES YES NO Case Management Funding Available NO YES YES NO 6 6 3 3 Training Enrollment Deadlines (Weeks) 8/16 26/26 26/26 8/16 Remedial Training Allowable YES YES YES YES Remedial TRA Available YES YES NO NO Prerequisite Courses Allowable YES YES YES YES Prerequisite TRA Available NO YES NO NO Completion TRA Available NO NO YES YES Number of Waiver Types Available
    • Because knowing is half the battle. References and Contacts 106
    • Internet References  TAA Homepage  http://doleta.gov/tradeact/ 107
    • Key References • Trade Act of 1974, as amended – 19 USC 12 • Public Law 93-618 (Trade Act of 1974) • Public Law 100-148 (aka: The 1988 Amendments) • Public Law 106-113 (FY2000 consolidated appropriation) • Public Law 107-210 (Trade Reform Act of 2002) • Public Law 111-5 (Trade and Globalization Adjustment Assistant Act of 2009) • Public Law 112-40 (Trade Adjustment Assistance Extension Act of 2011) • 20 CFR 617 (TAA/TRA Program Rules) • 20 CFR 618 (Merit Staffing & Funding) • 29 CFR 90 (Petition Process) 108
    • Key Guidance - TEGLs • TEGL 11-02 (2002 Operating Instructions) – Changes 1, 2 & 3 • TEGL 02-03 (ATAA, RTAA reference) – Changes 1, 2 • TEGL 22-08 (2009 Operating Instructions) – Change 1 • TEGL 10-11 (2011 Operating Instructions) – Changes 1, 2 • • • • • • • TEGL 05-00 (Program Integration) TEGL 21-00 (Program Integration) TEGL 15-12 (Program Integration) TEGL 05-01 (Travel) TEGL 09-05 (Distance Learning) TEGL 13-05 (Remedial Training) TEGL 08-11 (Equitable Tolling) 109
    • Key Guidance - UIPLs • UIPL 17-87 (Strike/Lockout) • UIPL 25-87 (Bumped Workers) • UIPL 29-91 (Incapacitated/Deceased) • UIPL 31-00 (TRA TAG) 110
    • Key Guidance - HCTC • UIPL 02-03 (Initial Guidance) • UIPL 05-03 (HCTC) • UIPL 33-03 (HCTC Q&A) • UIPL 05-06 (HCTC 1099-G) • UIPL 21-09 (HCTC) • UIPL 12-11 (Reversion) • TEGL 10-02 (Bridge/Gap-Filler Grants) 111
    • Regional Office Contacts – Region 1 Timothy Theberge John Murphy Regional Trade Coordinator TRA Coordinator (Primary) 617-788-0139 theberge.timothy@dol.gov 617-788-0392 murphy.john@dol.gov @timtheberge (Twitter) www.slideshare.net/ttheberge Kate McLaughlin Trade Coordinator (Backup) 617-788-0126 mclaughlin.kathleen@dol.gov 112