This document provides an overview of trade adjustment assistance programs and legislation. It begins with the mission statement of fostering employment opportunities for US workers. It then defines various acronyms used in trade programs. The document reviews the history of major trade legislation dating back to 1962. It also describes the petition process, eligibility criteria for trade-certified worker groups, guidelines for approving training programs, and benefits available under trade adjustment assistance including trade readjustment assistance payments and training waivers.

1. Region 1 Boston
#ETARegion1
October 2015

2. 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.
2

3. Materials Overview
 Alphabet Soup
 A Brief History of Trade Act Legislation
 Trade Adjustment Assistance Programs
 Trade Adjustment Assistance for
Workers
3

4. Alphabet Soup
There’s an acronym for that.
4

5. Alphabet Soup
Speaking the Language of Trade
ATAA = Alternative Trade Adjustment
Assistance
CSA = Cooperating State Agency
DEV = Data Element Validation
DOL = U.S. Department of Labor
DW = WIA Dislocated Worker program
ES = Employment Service
ETA = Employment & Training
Administration
GSA = Governor Secretary Agreement
HCTC = Health Coverage Tax Credit
NAICS = North American Industrial
Classification System
NWDG = National Dislocated Worker
Grant
OTAA = Office of Trade Adjustment
Assistance
RR = Rapid Response
RTAA = Reemployment Trade
Adjustment Assistance
TAA = Trade Adjustment Assistance for
Workers
TAPR = Trade Act Participant Report
TEGL = Training and Employment
Guidance Letter
TEN = Training and Employment
Notice
TRA = Trade Readjustment Assistance
UI = Unemployment Insurance
UIPL = Unemployment Insurance
Program Letter
ITC = International Trade Commission
WIA = Workforce Investment Act
WIOA = Workforce Innovation and
Opportunity Act
5

6. A Brief History of Trade
It’s always best to begin at the beginning.
6

7. 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
– Moved TRA to the end of the UI claim and required
enrollment in training to receive Additional TRA
– Up to 104 weeks of approved training
 1993 – North American Free Trade Agreement (NAFTA)
– Established the precedent for enrollment deadlines
7

8. 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 secondary firms
– 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 TRA
– Established RTAA as a permanent program and expanded
benefits
– Up to 156 weeks of approved training
8

9. Trade Act Origins & Major Legislation
 2011 – Trade Adjustment Assistance
Extension Act of 2011
– Ended eligibility for public-sector worker groups
– Removed Remedial 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
– Reduced types of training waivers for TRA eligibility
9

10. Trade Act Origins & Major Legislation
• 2014 – Reversion
– Under the Sunset Provisions of the Trade Act of
1974, Enacted by TAAEA of 2011
– Limited TAARA Group Eligibility requirements
– ATAA not RTAA
– Limitations on TRA and deadlines
– Limitations on Training (pre-layoff, etc.)
– Not State or Federal good cause & justifiable cause
– No special rule for military service
– No HCTC
10

11. Trade Act Origins & Major Legislation
• 2015 – Trade Adjustment Assistance
Reauthorization Act of 2015
– Legislation effective on June 29, 2015
– Authorized for six years
– Retroactive to January 1, 2014
– 2011+HCTC
– New RTAA interpretation
– Aligns performance measures with WIOA
11

12. Trade Adjustment Assistance
for Workers
Heigh ho, heigh ho, it’s into the weeds we go!
12

13. 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
13

14. Petition Process &
Worker Group Eligibility
Because who doesn’t love government forms?
14

15. 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
15

16. 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.
16

17. Petition Processing
 Upon receipt of petition, investigators
contact the 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
17

18. 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
18

19. Worker Group Eligibility (2002 - Primary)
19
 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

20. Worker Group Eligibility (2002 – Secondary)
 Upstream
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
20

21. Worker Group Eligibility (2002 – Secondary)
 Downstream
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
21

22. Worker Group Eligibility (2009/2011/2015)
 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 & 2015 are limited to the private sector. No
public sector certifications were ever certified even when available.
22

23. 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
Reversion 2014 YES NO NO Limited Countries
2015 YES YES NO Any Country
23

24. Training
“I was training to be an electrician. I suppose I got
wired the wrong way round somewhere along the
line.” - Elvis Presley
24

25. Mission of Training
Trade’s Axiom:
The least amount of training at the lowest
reasonable cost in the shortest amount
of time to be able to obtain “suitable
employment.”
25

26. 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.
26

27. Suitable Employment
Suitable employment is defined as work of
an equal or higher skill level 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
27

28. Training Prior to Separation (2009/2011/2015)
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).
28

29. 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
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)
29

30. 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
30

31. 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 / 2015
– Allows for part-time training
• TRA not payable during part-time weeks
31

32. Length of Training
 2002 / Reversion 2014
– The maximum length of Trade-approved
training is 130 weeks
 2009
– The maximum length of Trade-approved
training is 156 weeks
 2011 / 2015
– The maximum length of Trade-approved
training is 130 weeks
32

33. Breaks in Training
 2002
– Up to 14 days allowed
– Additional TRA may not be paid for breaks longer than
14 days
 2009 / 2011 / 2015
– 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
33

34. Training Matrix
Program Maximum
Weeks
Part-Time Breaks in
Training (Days)
Remedial /
Prerequisites
Online
Training
2002 130 No 14 Yes Yes
2009 156 Yes 30 Yes Yes
2011 130 Yes 30 Yes Yes
Reversion 2014 130 No 14 Yes Yes
2015 130 Yes 30 Yes Yes
34

35. Training-Related Costs
 Allowable
– All tuition & fees;
– Books, uniforms, supplies, equipment
– Transportation costs (mileage, mass transit, parking)
– Laptops and software may be purchased if required for all students by
the institution
– Health insurance premium costs, if all students are required to carry
health insurance and they are not otherwise covered
– Costs of licensing exams required for employment in the field of
training
 Not Allowable
– Child care, Auto repair, etc.
35

36. Training-Related Costs
• Discussion Question: Since TAA does
not pay for child care or auto repair, then
what might be a solution for those
participants in need?
36

37. Trade Readjustment Assistance
(TRA) and Training Waivers
“…those injured by that competition should not be required to bear the full
brunt of the impact.” - JFK
37

38. 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
38

39. 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,
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)]
39

40. 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 2009/2011/2015
40

41. 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
 2009/2011/2015 - 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;
41

42. Remedial / Prerequisite 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
42

43. Remedial / Prerequisite TRA (2002/2009)
 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
33

44. TRA and Training Waivers
2011 & 2015
 52 weeks of Basic
TRA (reduced by any
UI received)
 65 weeks in 78 of
Additional TRA
 Completion TRA may
account for 13
weeks
 Three Training
Waivers
2002
 52 weeks of Basic
TRA (reduced by any
UI received)
 52 weeks in 52 of
Additional TRA
 Remedial or
Prerequisite TRA may
account for 26 weeks
 Six Training Waivers
2009
 52 weeks of Basic
TRA (reduced by any
UI received)
 78 weeks in 91 of
Additional TRA
 Remedial or
Prerequisite TRA may
account for 26 weeks
 Six Training Waivers
44

45. Criteria for Waiving Training Requirement
 2011 & 2015 TAA Program
 Three Criteria
 Health Condition
 Enrollment in Training is
Not Available
 Training Not Available
 2002 and 2009 TAA Programs
 Six Criteria
 Health Condition
 Enrollment in Training
is Not Available
 Training Not Available
 Recall
 Marketable Skills
 Retirement
45

46. 46
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.

47. Remaining Training Waivers Under 2011/2015
(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.
47

48. Earnings Disregard (2009/2011/2015)
 For adversely affected workers in Trade-approved 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
 This provision will affect only the benefit computation for
workers who are participating in full-time training other
than on-the-job training
 State penalties only apply to the earnings in excess of the
participant’s weekly benefit amount
48

49. TRA Election Provision (2009/2011/2015)
• 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.
49

50. TRA Election Provision (2009/2011/2015)
50
26 weeks* of UI
* Number of weeks will vary based on state law and/or Federal extensions.

51. TRA Election Provision: Example 1
51
26 weeks* of UI
* Number of weeks will vary based on state law and/or Federal extensions.

52. TRA Election Provision: Example 2
52
26 weeks* of UI
* Number of weeks will vary based on state law and/or Federal extensions.

53. Completion TRA (2011/2015)
 Completion TRA aligns with the Department’s larger aim to increase the 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
53

54. 2011 & 2015 Program Benefits: TRA Timeline
Impact
Date
Lay
Off
Unemployment
Insurance
Certification
TRA
Exhausted
2 1/2 Years
Basic TRA
26 Weeks
52 X WBA
Completion TRA
13 Weeks
Payable in 20 Weeks
130 Payable Weeks over a 150 Week period
HCTC
Eligible
Until one
month after
last service
or benefit
Additional TRA
65 Weeks
Payable in 78 Weeks
54

55. TRA Timeline: Real-World Operations
55
HCTC Ends
Dec. 31,
2013
*UI may be less than 26
weeks.

56. Training Benchmarks (2011 & 2015)
 Reviews conducted at 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
56

57. Training Benchmarks (2011 & 2015)
 Required for Completion TRA eligibility
 Must be established at the beginning of all training programs- except
for very short training programs
 Encouraged because they strengthen case management efforts
57

58. Participant Served under 81,000 petition (meets benchmarks)
IEP Developed
with benchmark
requirements
documented
and signed
Up to 15 benchmark reviews through point of
Completion TRA eligibility
Participant Served under 81,000 petition (fails benchmarks)
IEP Developed
with benchmark
requirements
documented
and signed
130 weeks of training
Participant fails
one of two
benchmarks
Revise plan
Modify IEP
Modified plan may include
Completion TRA eligibility
Completion
TRA begins
2nd
Failure
Participant may continue in original
approved plan with no Completion TRA
Training Benchmarks (2011/2015)
58

59. Additional TRA Matrix
Program Total
Weeks
Payable
Payable
Within
(Weeks)
TRA
Election
Earnings
Disregard
Remedial /
Prerequisite
TRA
Completion
TRA
2002 52 52 NO NO NO NO
2009 78 91 YES YES YES NO
2011 65 78 YES YES YES YES
Reversion 2014 52 52 NO NO NO YES
2015 65 78 YES YES YES YES
59

60. 60
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)

61. Enrollment Deadlines
“A goal is a dream with a deadline.” – Napoleon Hill
61

62. 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.
62

63. 26/26 Week Deadline (2009/2011/2015)
63
 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
• 2011/2015: Federal good cause & justifiable cause provision allowable
 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.

64. Deadlines – Intent
TEGL 11-02
– “These deadlines may be waived for
specified reasons… However, the intent of
the time limitations is that adversely-
affected workers who are in need of training
be enrolled in training quickly in order to
expedite their adjustment and
reemployment.”
64

65. “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 UI work search
requirements
65

66. Federal Good Cause &
Equitable Tolling
Death and taxes. The only two rules without exceptions.
66

67.  Effective with the 2011 & 2015 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
Highlights for Federal Good Cause
67

68. Federal Good Cause and Equitable Tolling
are Separate and Distinct Provisions
Federal Good Cause Equitable Tolling
Statutory Yes No
Program Applicable under the
2011 & 2015 Program
Available in 2002, 2009,
2011, & 2015 Programs
Deadlines Can be applied ONLY to
application for TRA and
enrollment in training
Applies to any TAA
deadline
When
Available
Effective with TAAEA
(2011 Act)
 Effective with issuance of
TEGL:
October 19, 2011
68

69. Case Management and Related
Services
“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
69

70. Case Management
 2002 / Reversion 2014
 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 / 2015
 Requires that case management services be provided to all adversely
affected workers and adversely affected incumbent workers
 These services are not optional.
 Trade funds are provided to support these services
 Co-enrollment is still appropriate and highly recommended
 Trade participants are, by definition, dislocated workers under WIOA
70

71. Case Management
 Required Services (2009/2011/2015)
 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
71

72. Case Management
 Required Services (2009/2011/2015)
 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
 Support services are available through WIOA and other partner
programs or local community organizations (Co-enrollment
opportunity)

73. Reemployment Trade Adjustment
Assistance (RTAA)
“It's just a job. Grass grows, birds fly, waves pound the sand. I beat
people up.” - Muhammad Ali
73

74. 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 2009/2011/2015
• If in part-time, must also be in training
• May be combined with training (2009/2011/2015)
– New! May be full or part-time employed
• Can receive RTAA after TRA
– Weeks of TRA are deduced from RTAA benefit
• Cannot receive TRA after RTAA
74

75. RTAA Basics
 50% of difference between reemployment wages and
wages earned at separation
 Payments may not last more than the eligibility period
(i.e., not to exceed two years)
 Total payments may not exceed $10,000
 ($12,000 under 2009 rules)
 Qualifying reemployment is not employment at the
same “firm” or subdivision of the firm as the qualifying
separation (review certification for details)
 This includes successors-in-interest
 Group eligibility is automatic with certification of a
Trade petition
75

76. RTAA Clarification
• A worker need not be 50 or older when obtaining
RTAA qualifying reemployment. The worker
must; however, meet the eligibility period.
• Eligibility Period
– If TRA is not received, then it is for a period not to
exceed two years beginning on the earlier of (1)
worker exhausts all rights to UI or (2) the date
worker obtains reemployment
– If TRA is received, then it is for a period of 104
weeks beginning on the date the worker obtains
reemployment reduced by # of weeks of TRA)
76

77. 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
77

78. 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
Reversion 2014 YES NO NO $10,000
2015- RTAA YES YES YES $10,000
78

79. Adversely Affected Incumbent Workers (2011/2015)
• Who’s eligible?
– Workers threatened with total or partial separation
(layoff) from adversely affected employment
• Goal
– Retrain the threatened worker with new skills to allow
the worker to continue employment with the employer
and prepare for new employment
• Cannot be OJT or customized training.
• CSAs must evaluate if the threat of total or partial
separation still exists. If the threat is removed, then the
funding for the training must cease.
79

80. Discussion Question
• How do you let adversely affected
incumbent workers know about the
training opportunity?
80

81. Job Search and Relocation
Where the jobs are.
81

82. 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
82

83. Job Search Benefit Amount
• Under 2011 & 2015, 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
83

84. 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
84

85. Relocation Benefit Amount
• Under 2011/2015, 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
85

86. Job Search / Relocation Matrix
Job Search % Reimbursement Up to
Amount
2002 90% $1,250
2009 100% $1,500
2011 90% $1,250
Reversion 2014 90% $1,250
2015 90% $1,250
86
Relocation % Reimbursement Lump Sum
2002 90% $1,250
2009 100% $1,500
2011 90% $1,250
Reversion 2014 90% $1,250
2015 90% $1,250

87. Health Coverage Tax Credit
(HCTC)
87
Take two of these and call me in the morning.

88. Health Coverage Tax Credit (HCTC)
 Is BACK under TAARA 2015
 Guidance pending!
 Is it likely that states will need to provide the IRS data
via the ICON system at some point in the future.
88

89. Financial Management
Follow the money.
89

90. Trade Funding Types
• TAA = Training, job search, relocation,
case management & related costs
• TRA = Income support benefits
• A/RTAA = Wage insurance payments
90

91. Funding For FY 2015 through 2021
91
Uncapped Funds
Consolidated Allocation Cap
$450 Million
Conditions: Not more than 20
percent for administration; Not less
than 5 percent for case management
Case
Management Admin
Job Search
&
Relocation
TrainingTRA
RTAA

92. Recapture and Financial Reporting
 DOL may recapture funds from States with remaining un-
obligated funding (2009 / 2011 / 2015)
 DOL may distribute recaptured funds to States in need of
additional funding (2009 / 2011 / 2015)
 2002 program does not have a recapture provision
 Trade-specific ETA-9130 now in use
92

93. 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 10-
11; 20 CFR 618
93

94. Funding Status Issues / Recommended Practices
• 3 Year Money
– Different Law = Different Restrictions
– Proper cost allocation
• Expiration and Closeout
– Shifting pots
– Proper cost allocation
94

95. 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)
95

96. 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.”
 Case management is not an administrative cost.
96
Payable under 2011/2015

97. It’s Time to Pay Our Fair Share
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
97
Payable under 2009/ 2011 / 2015

98. Case Management Systems
 TEGL 22-08 Sec.G(2) and G(3); – Case
management funds may be used for
upgrading and maintaining electronic case
management systems
 Maintenance and enhancement of electronic
case management system to allow for
improved case management services
 Collecting validating and reporting required
information is charged to admin
98

99. Program Reporting Requirements
Mean, and median, and mode! Oh, my!
99

100. 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
100

101. Performance Under TAARA 2015
• Performance measures will align with
WIOA.
• Final Rule for WIOA is pending, so until
then, measures and reporting will remain
the same.
101

102. 102
TAPR Performance By NAICS PY2014
Best Outcomes (Earnings)
NAICS EER ERR Average Earnings
Management of
Companies & Enterprises
97.6% 100% $25,894
Utilities 93.7% 100% $29,098
Mining 94.8% 94.1% $29,854
Professional, Scientific, &
Technical Services
95.3% 96.5% $22,828

103. TAPR Performance By NAICS PY2014
Worst Outcomes (Earnings)
NAICS EER ERR Average Earnings
Accommodation & Food
Services
94.3% 94.9% $9,504.18
Arts, Entertainment, &
Recreation
93.3% 89.7% $10,911.84
Retail Trade 92.1% 95.5% $11,790.60
Educational Services 95% 95.2% $12,737.29
103

104. TAPR Performance By O*NET PY2014
Best Outcomes (Earnings)
O*NET EER ERR Average
Earnings
Architecture and
Engineering
Occupations
79.6% 93.9% $23,430.19
Business and Financial
Operations
Occupations
76.6% 93.5% $20,348.72
Computer and
Mathematical
Occupations
73.5% 91.6% $20,854.55
Management
Occupations
74.0% 90.6% $20,901.37
104

105. TAPR Performance By O*NET PY2014
Worst Outcomes (Earnings)
O*NET EER ERR Average Earnings
Personal Care & Service
Occupations
59.1% 89% $11,405.01
Food Preparation &
Serving Related
Occupations
71.8% 89.9% $11,473.98
Healthcare Support
Occupations
79.8% 93.8% $12,504.17
Office & Administrative
Support Occupations
72.2% 92.5% $13,358.11
105

106. 106
TAPR Performance Summary PY2014
State EER ERR Average Earnings
CT 58.5 % 89 % $18,850
ME 78.6 % 90 % $14,437
MA 80.7 % 91.1 % $17,881
NH 77.3 % 92.9 % $17,830
NJ 48.8 % 92.8 % $20,106
NY 65.1 % 91.1 % $17,508
PR 98 % 100 % $7,227
RI 78.2 % 93.3 % $16,389
VT 78.4 % 93.8 % $17,429
Regional Avg. 66.36 % 83.4 % $14,765.70
National 73.4 % 91.5 % $18,077

107. 107
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

108. 108
Trade Adjustment Assistance Data Integrity (TAADI)
 Conducted quarterly
 Email to states from Region with results
 Response required for failures
 Annual formal notice sent to states that have not made
progress or identified the cause of integrity failures and
outlined corrective actions

109. References and Contacts
Because knowing is half the battle.
109

110. Internet References
 TAA Homepage
 http://doleta.gov/tradeact/
 Workforce 3 One
 www.Workforce3one.org
 ION
 http://www.doleta.gov/wioa/eta_default.cfm
110

111. 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)
• Public Law 114-27 (Trade Adjustment Assistance Reauthorization Act of 2015)
• 20 CFR 617 (TAA/TRA Program Rules)
• 20 CFR 618 (Merit Staffing & Funding)
• 29 CFR 90 (Petition Process)
111

112. 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 5-15 (2015 Operating Instructions)
• 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)
112

113. Key Guidance - UIPLs
• UIPL 17-87 (Strike/Lockout)
• UIPL 25-87 (Bumped Workers)
• UIPL 29-91 (Incapacitated/Deceased)
• UIPL 31-00 (TRA TAG)
113

114. Key (But Dated) 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)
114

115. Regional Office Contacts – Region 1
Amanda Poirier
Regional Trade Coordinator
617-788-0124
Poirier.amanda@dol.gov
Tim Theberge
Trade Coordinator
(Back-Up)
617-788-0139
theberge.timothy@dol.gov
John Murphy
TRA Coordinator
617-788-0392
murphy.john@dol.gov
115