TEGL Operating Instructions October 2011 Amendments

CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION
ADVISORY SYSTEM
U.S. DEPARTMENT OF LABOR
Washington, D.C. 20210

TAA

CORRESPONDENCE SYMBOL

OTAA
DATE

ADVISORY:

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO.

TO:

STATE WORKFORCE AGENCIES
STATE WORKFORCE LIAISONS
ONE-STOP CENTER SYSTEM LEADS
STATE WORKFORCE ADMINISTRATORS
STATE AND LOCAL WORKFORCE BOARD CHAIRS AND DIRECTORS
STATE LABOR COMMISSIONERS

FROM:

JANE OATES
Assistant Secretary

SUBJECT:

Operating Instructions for Implementing the Amendments to the Trade Act of
1974 Enacted by the Trade Adjustment Assistance Extension Act of 2011
(TAAEA)

1. Purpose. To assist State Workforce Agencies or agencies designated by Governors as
“Cooperative State Agencies” (CSAs) (also jointly referred to as “states”) implement the
provisions of the TAAEA enacted on October 21, 2011. The TAAEA amends the Trade
Adjustment Assistance (TAA) program (2011 Amendments), restoring (with some exceptions)
the expanded certification criteria and benefits and services provided under the Trade and
Globalization Adjustment Act of 2009 (2009 Amendments).
2. References.
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Chapter 2 of Title II of the Trade Act of 1974, as amended (Pub. L. 93-618) (1974 Act
and, as amended, Trade Act);
Trade Adjustment Assistance Reform Act of 2002, Division A, Title I, Subtitle A of
the Trade Act of 2002 (Pub. L. 107-210), as amended by the Miscellaneous Trade and
Technical Corrections Act of 2004, (Pub. L. 108-429);
Trade and Globalization Adjustment Assistance Act of 2009, Division B, Title I,
Subtitle I of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111-5);
Omnibus Trade Act of 2010 (Pub. L. 111-344) (Omnibus Trade Act);
Trade Adjustment Assistance Extension Act of 2011 (Pub. L. 112-40);
20 Code of Federal Regulations (CFR) part 617);
20 CFR part 618;
29 CFR part 90;

RESCISSIONS
None

EXPIRATION DATE
Continuing

 TEGL No. 11-02, Operating Instructions for Implementing the Amendments to the
Trade Act of 1974 Enacted by the Trade Act of 2002, and its Changes 1; 2, and 3;
 TEGL No. 2-03, Interim Operating Instructions for Implementing the Alternative
Trade Adjustment Assistance (ATAA) for Older Workers Program Established by the
Trade Adjustment Assistance Reform Act of 2002, and its Changes
 TEGL No. 22-08, Operating Instructions for Implementing the Amendments to the
Trade Act of 1974 Enacted by the Trade and Globalization Adjustment Assistance Act
of 2009, and its Change 1;
 TEGL No. 16-10, Instructions for Phasing Out Changes to the Trade Act of 1974
Enacted by the Trade and Globalization Adjustment Assistance Act of 2009, and its
Change 1;
 TEGL No. 15-10, Increasing Credential, Degree, and Certificate Attainment by
Participants of the Public Workforce System; and
 TEGL No. 08-11, Availability of Equitable Tolling of Deadlines for Workers Covered
Under Trade Adjustment Assistance (TAA) Certifications.
3. Definitions.
1. 2002 Amendments means the Trade Act of 1974, Pub. L. 93-618, as amended by the
Trade Adjustment Assistance Reform Act of 2002, Pub. L. 107-210 and the
Miscellaneous Trade and Technical Corrections Act of 2004, Pub. L. 108-429.
2. 2002 Program means the TAA program under the 2002 Amendments.
3. 2009 Amendments means the Trade Act of 1974, as amended by the Trade and
Globalization Adjustment Assistance Act of 2009 (TGAAA).
4. 2009 Program means the TAA program under the 2009 Amendments.
5. 2011 Amendments means the Trade Act, as amended by the Trade Adjustment
Assistance Extension Act of 2011 (TAAEA).
6. 2011 Program means the TAA program under the 2011 Amendments.
7. ATAA means the Demonstration Project for Alternative Trade Adjustment Assistance
for Older Workers, under Section 246 of the 2002 Act, as in effect on May 17, 2009,
the day before the effective date of the 2009 Act, and during the period from February
13, 2011 through October 20, 2011.
8. RTAA means Reemployment Trade Adjustment Assistance, under Section 246 of
either the 2009 Act or the 2011 Act, depending on the context of the discussion.
9. HCTC means Health Coverage Tax Credit. (Section 35, Internal Revenue Code
(I.R.C.) of 1986) (26 U.S.C. 35), under the 2002 Program, the 2009 Program or the
2011 Program, depending on the context of the discussion.
10. WIA means the Workforce Investment Act of 1998, Pub. L. 105-220, as amended (29
U.S.C. 2801, et seq.).
11. Trade-Affected Worker means a worker who is a member of a certified worker group
and has been separated or threatened with separation. This term includes both an
adversely affected worker and an adversely affected incumbent worker, as defined
under the 2011 Act.
12. Enactment Date means October 21, 2011, the date on which President Obama signed
the TAAEA.

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4. Background. The TAA for Workers Program (TAA program) was first established at the
U.S. Department of Labor (Department) under chapter 2 of title II of the Trade Act of 1974 (1974
Act). The TAA program has a two-step process for workers to obtain program benefits. First, a
group of workers, or other specified entities, must file a petition for certification of eligibility to
apply for TAA benefits and services with Office of Trade Adjustment Assistance (OTAA) in the
Department’s Employment and Training Administration (ETA) and the state in which the
workers’ firm is located. A petition will be certified by a Certifying Officer in OTAA after
finding that the statutory criteria that test whether the group of workers was adversely affected by
international trade have been met. Second, workers who are part of a group covered under a
certified petition may apply individually to a state for TAA benefits and services. States
administer the TAA program as agents of the Secretary of Labor (Secretary) through a state
agency or agencies designated as the CSA in an agreement between the Governor and the
Secretary (the Governor-Secretary Agreement). The CSA is responsible for both the
determination of worker eligibility to receive TAA, and the provision of benefits and services to
TAA-eligible workers.
The 2002 Amendments
The 1974 Act has been amended numerous times. The Trade Adjustment Assistance Reform Act
of 2002 reauthorized and expanded the scope of the TAA program and increased benefit
amounts, repealed the North American Free Trade Agreement Transitional Adjustment
Assistance (NAFTA-TAA) program, added to the TAA program in 1993 to provide benefits to
workers who lost their jobs because of trade with Mexico and Canada after NAFTA, created the
Health Coverage Tax Credit (HCTC), and initiated a pilot program for Alternative Trade
Adjustment Assistance for older workers (ATAA program). The NAFTA-TAA program was no
longer necessary because the 2002 Amendments extended the same favorable TAA coverage to
workers who lost their jobs because of shifts in production to other countries with which the
United States had trade agreements or treaties or where there was also a likelihood of increased
imports, as NAFTA-TAA had provided to workers who lost their jobs because of shifts in
production to Mexico and Canada. Adversely affected secondary workers, whose layoffs could
be attributed to trade impacts demonstrated by TAA certifications of workers for companies for
whom their firms were suppliers or downstream producers, also were covered under these
amendments. The 2002 Program applied to workers covered under petitions filed on or after
November 4, 2002.
The operation of the TAA program for workers covered by petitions filed on or after November
4, 2002 and before May 18, 2009 is governed by TEGL No. 11-02, Operating Instructions for
Implementing the Amendments to the Trade Act of 1974 Enacted by the Trade Act of 2002, and
Changes 1, 2, and 3; and TEGL No. 2-03, Interim Operating Instructions for Implementing the
Alternative Trade Adjustment Assistance (ATAA) for Older Workers Program - Established by
the Trade Adjustment Assistance Reform Act of 2002, and Changes 1 and 2. The provisions of
the longstanding TAA regulations codified at 20 CFR part 617 that were not affected by program
changes in 2002 also have continued to apply to the TAA program and workers covered under
the 2002 Amendments.

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The 2009 Amendments
The TGAAA reauthorized the TAA program through December 31, 2010, and again expanded its
scope to cover additional categories of Trade-Affected Workers, increased benefit amounts, and
added employment and case management services to the categories of TAA benefits. The Older
Workers Program no longer was a pilot program and was renamed the RTAA program. Workers
no longer had to choose between receiving ATAA or the training benefit. Part-time training
could be approved for all Trade-Affected Workers, and Trade-Affected Workers could enroll in
TAA-approved training before separation from employment. The 2009 Amendments, applied to
workers covered under petitions filed on or after May 18, 2009, through December 31, 2010.
The Omnibus Trade Act amended the TGAAA to provide a six-week extension of the December
31, 2010 termination date of the program in effect under the 2009 Amendments (the 2009
Program), and the resumption of the program in effect before the 2009 Amendments (the 2002
Program). As described in TEGL No. 16-10, Change 1, the application of the 2009 Amendments
ended (or “sunset”) on February 12, 2011. The expanded TAA group eligibility and certification
requirements available under the 2009 Amendments continued to apply to petitions received on
or before 11:59 PM EST on Monday, February 14, 2011, which was the next business day after
February 12, 2011, a Saturday.
TEGL No. 22-08, Operating Instructions for Implementing the Amendments to the Trade Act of
1974 Enacted by the Trade and Globalization Adjustment Assistance Act of 2009, and its Change
1 continue to govern the delivery of benefits to workers covered under the 2009 Program. TEGL
No. 11-02, Operating Instructions for Implementing the Amendments to the Trade Act of 1974
Enacted by the Trade Act of 2002, and its Changes 1, 2, and 3; and TEGL No. 2-03, Interim
Operating Instructions for Implementing the Alternative Trade Adjustment Assistance (ATAA)
for Older Workers Program Established by the Trade Adjustment Assistance Reform Act of 2002,
and its Change 1 continue to govern the delivery of benefits to workers covered by petitions filed
on or after November 4, 2002 and before May 18, 2009, and where identified in Section A.2.4
below, the delivery of benefits to workers covered under petitions numbered TA-W-80,00080,999.
The Secretary’s regulations codified at 20 CFR part 617 continue to apply to the delivery of
benefits under the 2002 Program and the 2009 Program to the extent that the applicable law did
not supersede those regulatory requirements, as explained in the TEGLs and other guidance
documents that apply to the respective programs. To the same extent, 29 CFR part 90 continues
to apply to the certification process for all TAA petitions. The regulatory requirement of meritbased staffing of the TAA program, codified at 20 CFR 618.890, continues to apply to state
administration.
5. Operating Instructions. The operating instructions contained this TEGL are issued to states
as guidance provided by the Department, through ETA, in its role as the principal of the TAA
program. The states, as agents of the Secretary, may not vary from the operating instructions in
this document without prior approval from ETA. The operating instructions in this document
constitute the controlling guidance for the states in implementing and administering the 2011

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Amendments. These operating instructions only address changes to the TAA program made by
the 2011 Amendments.
A. APPLICATION OF THE 2011 AMENDMENTS
The sections below describe how the 2011 Amendments apply to three distinct cohorts of
workers: workers covered by petitions filed before February 13, 2011, with petition numbers
below TA-W-80,000; workers covered by petitions filed after February 13, 2011 and before
October 21, 2011, with petition numbers ranging from TA-W-80,000-80,999; and workers
covered by petitions filed on or after October 21, 2011, with petition numbers beginning with
TA-W-81,000.
Note that nothing in the 2011 Amendments or these operating instructions affect the benefits
and services available to workers covered under petitions certified under the 2009 Act, or
workers covered under petitions filed before May 18, 2009 and certified under the 2002 Act.
A.1.

Petitions filed before February 13, 2011

Statute: Section 231(a)(2)of the TAAEA reads:
(2) PETITIONS FILED BEFORE FEBRUARY 13, 2011.—A worker certified as
eligible to apply for trade adjustment assistance pursuant to a petition filed under section
221 of the Trade Act of 1974—
(A) on or after May 18, 2009, and on or before February 12, 2011, shall continue
to be eligible to apply for and receive benefits under the provisions of chapter 2 of
title II of such Act, as in effect on February 12, 2011; or
(B) before May 18, 2009, shall continue to be eligible to apply for and receive
benefits under the provisions of chapter 2 of title II of such Act, as in effect on May
17, 2009.
Administration: The TAAEA does not change the benefits and services available to
workers covered by certifications of petitions filed before February 13, 2011, which ETA
interpreted in TEGL No. 16-10 Change 1, to mean petitions received on or before 11:59
PM EST (Monday) February 14, 2011, the next business day after February 12, 2011, a
Saturday. These workers are and will continue to be served as described below:
i. Workers covered by certifications of petitions filed on or before May 17, 2009,
identified by a petition number lower than TA-W-70,000. These workers are
subject to the provisions of the 2002 Amendments, as implemented in TEGL No.
11-02 and Changes, 1, 2, and 3; TEGL No. 2-03, and Change 1; as well as the
applicable provisions of the regulations codified at 20 CFR parts 617 and 618, and
29 CFR part 90.
ii. Workers covered by petitions filed on or after May 18, 2009, and on or before
February 14, 2011, identified by petition numbers between TA-W-70,000 and TAW-79,999. These workers are subject to the provisions of the 2009 Amendments as

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implemented in TEGL No. 22-08 and Change 1; TEGL 16-10 and its Change 1; as
well as the applicable provisions of the regulations codified at 20 CFR parts 617
and 618, and 29 CFR part 90.
A.2

Petitions filed between February 13, 2011 and October 21, 2011

Several provisions of the TAAEA address workers covered by certifications of petitions
filed after February 13, 2011 (actually, February 14, 2011, as explained in Section A.1,
above,) and before the Enactment Date, October 21, 2011. These workers are covered by
petitions with numbers ranging from TA-W-80,000-80,999.
A.2.1 Certification Requirements for Petitions under Investigation on October
21, 2011
Statute: Section 231(a)(1)(A) of the TAAEA of 2011 reads:
(A) CERTIFICATIONS OF WORKERS NOT CERTIFIED BEFORE DATE OF
ENACTMENT.—
(i) CRITERIA IF A DETERMINATION HAS NOT BEEN MADE.—If, as of the
date of the enactment of this Act, the Secretary of Labor has not made a
determination with respect to whether to certify a group of workers as eligible to
apply for adjustment assistance under section 222 of the Trade Act of 1974 pursuant
to a petition described in clause (iii), the Secretary shall make that determination
based on the requirements of section 222 of the Trade Act of 1974, as in effect on
such date of enactment.
Administration: The 2011 Amendments provide that, for any petition filed after
February 13, 2011 (February 14, 2011) and on or before October 21, 2011 (petitions
with numbers ranging from TA-W-80,000-80,999), for which an investigation is still
pending, a determination will be issued based on the group eligibility provisions of
the 2011 Act. OTAA’s investigation of these petitions under the provisions of the
2011 Act does not require any action on the part of the petitioners or the state.
A.2.2 Reconsideration of Determinations Issued Before October 21, 2011,
Denying Certification of Petitions
Statute: Section 231(a)(1)(ii) of the TAAEA reads:
(ii) RECONSIDERATION OF DENIALS OF CERTIFICATIONS.—If, before the
date of the enactment of this Act, the Secretary made a determination not to certify a
group of workers as eligible to apply for adjustment assistance under section 222 of
the Trade Act of 1974 pursuant to a petition described in clause (iii), the Secretary
shall—
(I) reconsider that determination; and
(II) if the group of workers meets the requirements of section 222 of the Trade

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Act of 1974, as in effect on such date of enactment, certify the group of workers as
eligible to apply for adjustment assistance.
Administration: The 2011 Amendments require OTAA to reopen investigations of
any petitions filed after February 13, 2011 (February 14, 2011) and on or before
October 21, 2011, identified by a petition number between TA-W-80,000 and 80,999,
that resulted in a denial of a certification by OTAA before October 21, 2011. This
includes petitions that were denied after reconsideration before October 21, 2011 or
were under a reconsideration investigation on or before October 21, 2011. This action
is necessary to determine worker group eligibility under the new provisions of the
2011 Act. A list of the petitions for which OTAA has reopened investigations has
been posted on the website at www.doleta.gov/tradeact/pdf/80000Denials.pdf.
Neither states nor petitioners need take any action to reopen these investigations.
OTAA will investigate and decide these petitions based on the group eligibility
criteria of the 2011 Amendments. Workers covered under certifications of these
petitions will be eligible for benefits and services under either the 2002 Program or
the 2011 Program if they are receiving benefits under the 2002 Program before
December 19, 2011, as explained below in sections A.2.3.1-A.2.4.1. There are no
changes to the appeal procedures applicable to determinations denying certification of
these petitions.
A.2.2.1 Workers Denied Group Eligibility to Apply for ATAA
No separate group eligibility certification is required for a worker to apply for
RTAA under the 2011 Amendments. Therefore, OTAA does not need to reopen
investigations of petitions in the range of TA-W-80,000-80,999 where the worker
group was certified for TAA, but denied group eligibility to apply for ATAA. In
these cases, workers covered under certifications of petitions numbered TA-W80,000-80,999, who are eligible for benefits under the 2011 Program (as described
in paragraphs A.2.3), will automatically be eligible to apply for RTAA beginning,
as explained in Section A.2.3, below, on December 20, 2011.
A.2.3 Program Benefits for Workers Covered under Certifications of Petitions
Numbered TA-W-80,000- 80,999
Statute: Section 231(a)(1)(B) of the TAAEA of 2011 reads:
(B) ELIGIBILITY FOR BENEFITS.—
(i) IN GENERAL.—Except as provided in clause (ii), a worker certified as
eligible to apply for adjustment assistance under section 222 of the Trade Act of
1974 pursuant to a petition described in subparagraph (A)(iii) shall be eligible,
on and after the date that is 60 days after the date of the enactment of this Act, to
receive benefits only under the provisions of chapter 2 of title II of the Trade Act
of 1974, as in effect on such date of enactment.

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Section 231(a)(1)(A)(iii), referred to above as “subparagraph (A)(iii),” reads:
(iii) Petition Described.—A petition described in this clause is a petition for a
certification of eligibility for a group of workers filed under section 221 of the
Trade Act of 1974 on or after February 13, 2011, and before the date of the
enactment of this Act.
Administration: In general, the benefits and services available under the 2011
Amendments will be available beginning on December 20, 2011, the date that is 60
days after October 21, 2011, to workers covered under certifications of petitions
numbered TA-W-80,000-80,999.
A.2.3.1 2002 Program Benefits Available Between October 21, 2011 and
December 20, 2011
Until December 20, 2011, workers covered under certifications of petitions
numbered TA-W-80,000-80,999 will be eligible to apply for only the benefits and
services available under the 2002 Program. The state must notify these workers
that if they begin receiving benefits services available under the 2002 Program
before that date, they will be given a choice to switch to the 2011 Program after
December 20, 2011, as discussed in section A.2.4.
A.2.3.2 2011 Program Benefits Available On or After December 20, 2011
Workers covered under certifications of petitions numbered TA-W-80,000-80,999
who first apply for benefits and services on or after December 20, 2011, (the end
of the 60-day period following enactment of the 2011 Amendments), are only
eligible to apply for the benefits and services available under the 2011 Program.
States must provide these workers timely notice that they are eligible to apply for
the 2011 Program benefits and services.
A.2.3.3 Notice of 2011 Program Benefits Available on or After December 20,
2011 to Adversely Affected Incumbent Workers
Training is a benefit available to “adversely affected incumbent workers” under
both the 2009 Program and the 2011 Program. TEGL No. 22-08, section D.2.
defines “adversely affected incumbent worker” and explains the benefits available
to these workers. Certifications of petitions numbered TA-W- 80,000-80,999
issued before October 21, 2011, do not include adversely affected incumbent
workers because those certifications were made under the 2002 Amendments that
were in effect at the time of certification. Under the 2011 Amendments, adversely
affected incumbent workers become eligible for training as provided under the
2009 Amendments, beginning 60 days after enactment as discussed in paragraphs
2.3.and 2.4. The training benefit for adversely affected incumbent workers is
explained in TEGL No. 22-08, sections D.2.2 – D.2.4. Adversely affected

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incumbent workers also are eligible for part time training, as discussed in TEGL
No. 22-08, section D.2.5.
OTAA will not amend these certifications issued before October 21, 2011, to
expressly include adversely affected incumbent workers. However, states must
contact the employers of workers covered by certifications of petitions in the
80,000- 80,999 series, obtain an expanded list of workers in the worker group who
are threatened with separation but have not been separated from employment,
determine which workers are adversely affected incumbent workers, and provide
information to them about the availability of the training benefit under the 2011
Amendments beginning on December 20, 2011.
A.2.3.4 Notice of 2011 Program Benefits Available After December 20, 2011
to Older Workers
RTAA is a benefit available to older workers under the 2011 Program. States
must automatically review determinations denying a worker covered under a
certification of a petition numbered TA-W-80,000-80,999 individual eligibility for
ATAA. If the denial was based on an eligibility criterion that does not apply to
eligibility for RTAA (e.g., did not obtain full time employment by the 26th week
after separation), then the state must notify the worker that the option to apply for
benefits under the RTAA program may be available, as discussed in paragraph
A.2.4 of this TEGL if the worker is receiving TAA benefits and services. States
may provide information to the worker in a separate notice.
A.2.4 Workers Receiving Benefits under the 2002 Program Continue to Receive
Benefits under the 2002 Program Unless They Elect to Change
A.2.4.1 Workers Eligible to Choose the 2002 Program or the 2011 Program
Statute: Section 231(a)(1)(B)(ii) of the TAAEA of 2011 reads:
(ii) ELECTION FOR WORKERS RECEIVING BENEFITS ON THE 60TH
DAY AFTER ENACTMENT.—
(I) IN GENERAL.—A worker certified as eligible to apply for adjustment
assistance under section 222 of the Trade Act of 1974 pursuant to a petition
described in subparagraph (A)(iii) who is receiving benefits under chapter 2
of title II of the Trade Act of 1974 as of the date that is 60 days after the date
of the enactment of this Act may, not later than the date that is 150 days after
such date of enactment, make a one-time election, to receive benefits pursuant
to—
(aa) the provisions of chapter 2 of title II of the Trade Act of 1974, as
in effect on such date of enactment; or
(bb) the provisions of chapter 2 of title II of the Trade Act of 1974, as
in effect on February 13, 2011.

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Administration: Beginning on December 20, 2011, workers who are covered
under the certification of a petition numbered TA-W-80,000-80,999 and have not
received benefits or services under the 2002 program as of this date will
automatically become eligible for the 2011 Program, as described in paragraph
2.3. These workers will not be eligible for the 2002 Program.
For the 90-day period beginning on December 20, 2011, workers who are covered
under the certification of a petition filed after February 13, 2011 (February 14,
2011) and on or before October 21, 2011, and are “receiving TAA benefits” (as
defined below) on December 20, 2011, are eligible to choose to continue in the
2002 Program, or move to the 2011 Program, as described further below. These
workers have a one-time opportunity, beginning on day 60 (December 20, 2011)
and continuing through day 150 (March 19, 2011) after the Enactment Date
(October 21, 2011), to choose coverage under either the 2002 Program or the 2011
Program. Therefore, workers eligible to choose must make this choice on or after
December 20, 2011 and no later than March 19, 2012. Unless they make the
choice discussed in this paragraph within the statutory time period, workers who
are covered by petitions numbered TA-W-80,000-80,999 who have received
benefits under the 2002 Program will continue to receive benefits under the 2002
Program.
The requirement that such workers must be offered a choice between the 2002
Program and the 2011 Program means that states must offer workers who have
received a first TAA-funded benefit or service before the 60th day after the
Enactment Date the choice of continuing with their existing 2002 Program
benefits and services, or changing to the 2011 Program level of benefits and
services. States must determine whether a worker “is receiving benefits under
chapter 2 of title II of the Trade Act of 1974 as of the 60th day after enactment,”
which is December 20, 2011.
A worker is “receiving TAA benefits” under one or more of the following
circumstances:
1. Training Waiver: A training waiver is in effect for the worker on December
20, 2011; or
2. Training: The worker has an approved training plan and is enrolled in
training, participating in training, or has completed training by December 20,
2011; or
3. Job Search and Relocation Allowances: The worker has been approved for a
job search or relocation allowance, even if the payment has not yet occurred
on or before December 20, 2011; or
4. Trade Readjustment Allowances (TRA) and ATAA: The worker has received
a payment of either TRA or ATAA for a week before, or for the week that
includes, December 20, 2011.

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Workers who fall into this category will be allowed to exercise a one-time election
to either continue to receive benefits and services under the 2002 Program; or
choose to apply for benefits and services available under the 2011 Program.
States are required to notify eligible TAA enrollees of this one time election
option and document their choice of program in a document, which must be
retained in the worker’s case file. States must provide workers with information
on the benefits and services available under the 2002 Program and the 2011
Program and make available counseling services to discuss the pros and cons of
each option as it applies to the worker’s individual situation. States must develop
an internal process to track under which program the worker is being served. This
may include adding a suffix to the certification number in state case management
systems to identify a worker who originally began receiving benefits and services
under the 2002 Amendments, and later elected to begin receiving benefits and
services under the 2011 Amendments.
Note that, HCTC is not a TAA-funded benefit and, under the 2002 Program,
neither were employment and case management services. Therefore, workers who
have received only HCTC or initial employment and case management services
through the One-Stop system, and who have not received one or more of the
benefits and services listed above, will not be eligible to choose to receive benefits
and services under the 2002 Program. These workers will automatically receive
benefits under the 2011 Program.
A.2.4.2 Workers Who Elect to Receive Benefits Under the 2011 ProgramComputation of Maximum Benefits
Statute: Section 231(a)(1)(B)(ii)(III) of the TAAEA reads:
(III) COMPUTATION OF MAXIMUM BENEFITS.—Benefits received by
a worker described in subclause (I) under chapter 2 of title II of the Trade Act
of 1974, as in effect on February 13, 2011, before the worker makes the
election described in that subclause shall be included in any determination of
the maximum benefits for which the worker is eligible under the provisions of
chapter 2 of title II of the Trade Act of 1974, as in effect on the date of the
enactment of this Act, or as in effect on February 13, 2011, whichever is
applicable after the election of the worker under subclause(I).
Administration: Workers who elect to receive benefits under the 2011 Program
on or after December 20, 2011 and before March 20, 2012, will transition from
the 2002 Program to the 2011 Program beginning with the first week following
the date on which the state documents that the worker made the choice. Any
benefits or services received by the worker before the choice apply toward the
maximum benefits the worker may receive under the 2011 Amendments. In
particular, this includes both weeks of TRA and weeks of training received.

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In general, for workers receiving benefits under the 2002 Program who have not
enrolled in training and choose to move to the 2011 Program, the applicable
training enrollment deadlines will be those described in TEGL No. 22-08. Such
workers who were approved for a waiver of the training requirement under the
2002 Act based on Recall, Marketable Skills, or Retirement, who choose to move
to the 2011 Program will no longer be eligible for that waiver. States must revoke
those waivers, after the choice is made and the worker must be enrolled in training
to continue to be eligible for TRA (or the state must issue a waiver under one of
the reasons allowable under the 2011 Amendments). For workers whose waiver
was revoked, the applicable deadline for training enrollment is the later of: the last
day of the 26th weeks after the worker’s most recent total separation or the last
day of the 26th week after the date of the certification, or the Monday of the first
week occurring 30 days after the date on which the state revoked the waiver, as
described in TEGL No. 22-08.
When applicable, states must amend training plans of workers who have enrolled
in training and choose to move to the 2011 Program to establish benchmarks
necessary for states to determine whether those workers are eligible for
Completion TRA, as described below in section C.3.
A.2.4.3 Eligible Workers Who Fail to Make an Election between December
20, 2011 and before March 19, 2012, Continue in the 2002 Program
Statute: Section 231(a)(2)(B)(ii)(II) of the TAAEA reads:
(II) EFFECT OF FAILURE TO MAKE ELECTION.—A worker described in
subclause (I) who does not make the election described in that subclause on or
before the date that is 150 days after the date of the enactment of this Act shall be
eligible to receive benefits only under the provisions of chapter 2 of title II of the
Trade Act of 1974, as in effect on February 13, 2011.
Administration: The window for exercising this one-time choice option closes
on March 19, 2012, the date that is 150 days after enactment, and eligible workers
who fail to make this choice will continue to receive benefits and services under
the provisions in the 2002 Amendments. As appropriate, a worker who appeals
the denial of a benefit under the 2011 Program based on a state’s alleged failure to
provide timely or complete notice of the choice option and deadline, may assert
that equitable tolling applies to that deadline. TEGL No. 08-11 provides guidance
on the application of the equitable tolling principle to TAA deadlines. The
application of equitable tolling, as described in TEGL No. 08-11, applies to this
deadline even though it was not named in the TEGL because it was not in effect
on the date on which ETA issued the TEGL.

12

A.3

Petitions filed after October 21, 2011
A.3.1 2011 Program Benefits Available to Workers Covered by Certifications of
Petitions filed on or after October 21, 2011
Statute: Section 201(b) of the TAAEA reads:

(b) APPLICABILITY OF CERTAIN PROVISIONS.—Except as otherwise
provided in this subtitle, the provisions of chapters 2 through 6 of title II of the Trade
Act of 1974, as in effect on February 12, 2011, and as amended by this subtitle,
shall—
(1) take effect on the date of the enactment of this Act; and
(2) apply to petitions for certification filed under chapters 2, 3, or 6 of title II
of the Trade Act of 1974 on or after such date of enactment.
Administration: Workers covered by certifications of petitions filed on or after
October 21, 2011, are subject only to the provisions of the 2011 Amendments.
OTAA has begun a new TA-W numbering series for petitions filed under the 2011
Amendments, beginning with TA-W-81,000. Workers covered by petitions filed on
or after October 21, 2011, identified by a petition number greater than TA-W-81,000
are subject to the provisions of the 2011 Amendments, as implemented in these
Operating Instructions, as well as regulations codified at 20 CFR parts 617 and 618,
and 29 CFR part 90, to the extent that those regulations have not been superseded by
the 2011 Amendments.
A.3.2 Extended Impact Date for Certifications of Petitions Filed Within 90 Days
of October 21, 2011
Statute: Section 231(a)(3) of the Trade TAAEA reads:
(3) QUALIFYING SEPARATIONS WITH RESPECT TO PETITIONS FILED
WITHIN 90 DAYS OF DATE OFENACTMENT.— Section 223(b) of the Trade Act of
1974, as in effect on the date of the enactment of this Act, shall be applied and
administered by substituting “before February 13, 2010” for “more than one year
before the date of the petition on which such certification was granted” for purposes
of determining whether a worker is eligible to apply for adjustment assistance
pursuant to a petition filed under section 221 of the Trade Act of 1974 on or after the
date of the enactment of this Act and on or before the date that is 90 days after such
date of enactment.
Administration: In general, certifications cover workers separated from employment
up to one year before the date of the petition. This date is known as the “impact date”
of the certification. The 2011 Amendments provide that all certifications of petitions
filed within 90 days of the date of enactment of the 2011 Amendments, which is
January 19, 2012, include workers separated on or after February 13, 2010, instead of

13

the one-year impact date that applies to certifications of all other petitions. For
example, since the date of enactment is October 21, 2011, if the date of the petition is
January 1, 2012, which is fewer than 90 days after October 21, 2011, a certification of
that petition will cover workers separated on or after February 13, 2010. When a
petition dated more than 90 days after the date of enactment (January 19, 2012) is
certified, the one-year impact date will apply, and the certification will no longer
cover workers separated more than one year before the petition date.
The determination documents certifying petitions clearly identify the impact date and
expiration date for each certification, and will use the impact date of February 13,
2010, where appropriate. This means that workers covered by certifications of
petitions filed between October 21, 2011 and January 19, 2012 will have an earlier
impact date than certifications of petitions dated between February 14, 2011 and
October 20, 2011. This could cause confusion and complaints when workers who
were denied eligibility for TAA because they were laid off more than a year before the
date of the petition, learn that there are other workers who were laid off more than a
year before the date of the petition, who were determined to be eligible. States should
be prepared to explain that this difference in treatment was directed by the statute.
B. GROUP ELIGIBILITY
The TAAEA generally restores the group eligibility requirements available under the 2009
Amendments, except that workers in a public agency are not eligible for certification. For
more information on group eligibility benefits under the 2009 Amendments, see Section B of
TEGL No. 22-08, pages A-4 through A-14. Except as noted, the provisions of Section B
below apply to determinations made under the 2011 Amendments. Note that Section B.2 .of
TEGL No. 22-08 does not apply under the 2011 Amendments.
Statute: Section 211(a)(1) of the TAAEA amends Section 222 of the Trade Act of 1974 (19
U.S.C. § 2272), Group Eligibility Requirements by striking subsection (b), Adversely
Affected Workers in Public Agencies. Section 211(b) of the TAAEA amends Section 247 of
the Trade Act of 1974 (19 U.S.C. § 2319) to redefine the term “Firm” in paragraph (3)(A), by
striking “service sector firm, or public agency” and inserting “or service sector firm” and to
strike the definition of “public agency.”
Administration: Worker group coverage under the 2011 Act is restored to the coverage
provided under the 2009 Act, with the exception of coverage for workers in public agencies.
Trade-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

14

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 TAAcertified workers; or
6. workers in firms identified in International Trade Commission “injury” determinations.
The 2011 Amendments also eliminate separate group eligibility for Alternative Trade
Adjustment Assistance, as RTAA is a benefit available to all eligible workers aged 50 and
over covered under the TAA certification. See section H. below. Worker group coverage
provisions are effective immediately.
C. CHANGES TO TRADE READJUSTMENT ALLOWANCES (TRA)
The Trade Adjustment Assistance Extension Act of 2011 generally restores the TRA benefits
and eligibility available under the 2009 Amendments, but makes important changes. The
maximum number of weeks of income support for workers in the 2002 Program is 130; 156
weeks for workers in the 2009 Program, and 130 weeks for workers in the 2011 Program.
However, the eligibility requirements for the weeks of TRA available under the 2002
Program and the 2011 Program are different and those differences are explained below, along
with the differences in TRA available under the 2009 Program. Note: Meeting training
benchmarks is an eligibility requirement for Completion TRA, as explained below in section
C.3.1. For more information on TRA benefits under the 2009 Amendments, see Section C of
TEGL No. 22-08, pages A-14 through A-30, and its Change 1. Except as noted below, the
provisions of Section C apply to workers served under the 2011 Amendments. Note that
sections C.3, C.5.1, and C.5.2 change significantly under the Trade Adjustment Assistance
Extension Act of 2011.
C.1.

Elimination of Remedial TRA

The eligibility period for the receipt of TRA is not extended for weeks of participation in
remedial or prerequisite training (as it was under the 2009 Amendments), and the 26
weeks of TRA referred to as Remedial TRA is no longer payable.
Statute: Section 213 of the TAAEA amends Section 233 of the Trade Act of 1974 (19
U.S.C. § 2293), Limitations on Trade Readjustment Allowances, by replacing the
language in subsection (f) authorizing Remedial TRA for workers in training including
remedial and/or prerequisite coursework with language authorizing Completion TRA.
Section 213(f) appears below under section C.3.
Administration: The TAAEA eliminates 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.

15

Workers covered under certifications of petitions numbered TA-W-80,000-80,999, who
have been approved for Remedial TRA as part of their approved training plan under the
2002 Program, will continue to be eligible for such payments if they do not exercise their
choice to change to the 2011 Program, as discussed above in section A.2.4.
C.2

Reductions in Weeks of Additional TRA

The TAAEA changes the maximum number of Additional TRA weeks payable to 65, a
reduction from the maximum of 78 weeks payable under the 2009 Amendments.
Additionally, the maximum of 65 weeks of payments are payable over a period of 78
weeks, a reduction from the 91-week eligibility period under the 2009 Amendments.
Statute: Section 213 of the TAAEA amends Section 233(a)(3) of the Trade Act to read:
(3) Notwithstanding paragraph (I), in order to assist the adversely affected worker to
complete a training program approved for the worker under section 236, and in
accordance with regulations prescribed by the Secretary, payments may be made as trade
readjustment allowances for up to 65 additional weeks in the 78-week period that—
(A) follows the last week of entitlement to trade readjustment allowances otherwise
payable under this chapter; or
(B) begins with the first week of such training, if such training begins after the last
week described in subparagraph (A).
Payments for such additional weeks may be made only for weeks in such 78-week
period during which the individual is participating in such training.
Administration: A maximum of 65 weeks of Additional TRA are payable over a 78consecutive calendar week eligibility period. This 78-week eligibility period follows the
last week of entitlement to Basic TRA or begins with the first week of TAA-approved
training, if that training begins after the last week of the exhaustion of Basic TRA. The
other eligibility provisions for Additional TRA contained in the 2009 Amendments apply.
These provisions are discussed in TEGL No. 22-08, section C.5.2.
C.3 Availability of Completion TRA
The TAAEA establishes a new category of TRA, referred to here as “Completion TRA,”
to provide up to 13 more weeks of income support for a worker who has exhausted the
maximum 65 weeks of Additional TRA and requires a longer period of income support to
complete an approved training program. Workers eligible for Completion TRA must
have met training benchmarks described in paragraph C.3.1.
Statute: Section 213 of the TAAEA amends the section 233(f) of the Trade Act to read:
(f) PAYMENT OF TRADE READJUSTMENT ALLOWANCES TO COMPLETE
TRAINING – Notwithstanding any other provision of this section, in order to assist an

16

adversely affected worker to complete training approved for the worker under section
236 that leads to the completion of a degree or industry-recognized credential, payments
may be made as trade readjustment allowances for not more than 13 weeks within such
period of eligibility as the Secretary may prescribe to account for a break in training or
for justifiable cause that follows the last week for which the worker is otherwise entitled
to a trade readjustment allowance under this chapter if -(1) payment of the trade readjustment allowance for not more than 13 weeks is
necessary for the worker to complete the training;
(2) the worker participates in training in each such week; and
(3) the worker –
(A) has substantially met the performance benchmarks established as part
of the training approved for the worker;
(B) is expected to continue to make progress toward the completion of the
training; and
(C) will complete the training during that period of eligibility.
Administration: Under the 2011 Amendments, in addition to Basic TRA and Additional
TRA, up to 13 weeks of Completion TRA may be payable to assist a worker to complete
training that leads to a degree or industry-recognized credential. Assuming a worker
meets the other TRA eligibility requirements, the worker qualifies for up to 13 weeks of
Completion TRA where all of the following five criteria are met:
1. The requested weeks are necessary for the worker to complete a training program that
leads to completion of a degree or industry-recognized credential, as described in
TEGL No. 15-10; and
2. The worker is participating in training in each such week; and
3. The worker has substantially met the performance benchmarks established in the
approved training plan (see section C.3.1); and
4. The worker is expected to continue to make progress toward the completion of the
approved training; and
5. The worker will be able to complete the training during the period authorized for
receipt of Completion TRA (see section C.3.2).
These requirements are applied at the time the state approves payment for a week of
Completion TRA. If, during the period in which a worker is eligible to receive
Completion TRA, the worker ceases to meet any of the five conditions listed above, the
state may no longer pay Completion TRA. For example, if a worker has been meeting
training benchmarks and was expected to complete training within the established period,
but at the point of payment of week 5, there is an indication that training will not be
completed within the established period, Completion TRA payments will cease.
However, weeks of Completion TRA previously paid based on information that was
correct at the time of payment are properly paid, and therefore states must not treat them
as overpayments.

17

C.3.1 Training Benchmarks to Meet Completion TRA Eligibility Requirements
To implement Completion TRA under the 2011 Amendments, a state must establish
training benchmarks for a worker when the worker enrolls in training to be able to
monitor the worker’s progress toward completing the approved training within the 130week maximum duration of training, as described below in section D. The worker must
substantially meet benchmarks to receive Completion TRA and, therefore, benchmarks
must be included in all but short-term training plans. These benchmarks must be flexible
enough to allow for some variability (e.g., a single course failure or missed week of
attendance should not make the worker ineligible), and both practical and measurable
enough to allow administration across a broad spectrum of training scenarios and state
environments. These benchmarks are related to, but differ from, the requirement that a
worker “participate in training” as a condition of eligibility for TRA. “Participation in
training” merely requires that a worker must attend scheduled classes, required events or
otherwise follow the rules of the training program in accordance with the requirements
documented by the training institution, while benchmarks measure satisfactory progress
of the worker who is participating in training.
In order to determine that the worker has “substantially met the performance benchmarks
established in the approved training plan” states must evaluate satisfactory progress
against only the following two benchmarks at intervals of no more than 60 days,
beginning with the start of the training plan, to determine whether the worker is:
1. maintaining satisfactory academic standing (e.g. not on probation or determined to
be “at risk” by the instructor or training institution), and
2. on schedule to complete training within the timeframe identified in the approved
training plan.
For this review, a state may request the training vendor to provide documentation of the
worker’s satisfactory progress. The case manager may attest to the worker’s satisfactory
progress after consultation with the vendor and the worker. The state may request that the
worker provide documentation of the worker’s satisfactory progress towards meeting the
training benchmarks from the vendor, such as through instructor attestations.
Regardless of the mechanisms used, the training benchmarks must be described in the
worker’s Individual Employment Plan.
Upon one substandard review of the established benchmarks, the worker will be given a
warning, while two substandard reviews must result in a modification to the training plan,
or the worker will no longer be eligible for Completion TRA. In this way, the training
benchmarks may be used to provide early intervention that will provide the opportunity to
determine whether the training plan in place is appropriate for the individual or would be
prudent to revise.

18

In cases where a state denies payment of Completion TRA because the worker has not
made satisfactory progress towards completing benchmarks, a worker may appeal the
determination through the same appeal process available when other claims for TRA are
denied.
C.3.2 Completion TRA Eligibility Period Established by the Secretary
The amended section 233(f) of the Trade Act gives the Secretary discretion to establish
the eligibility period within which the 13 weeks of Completion TRA are payable and
training must be completed in order to meet the Completion TRA eligibility
requirements. In order to account for breaks in training, the Secretary has determined that
the eligibility period for Completion TRA will be the 20-week period beginning with the
first week in which a worker files a claim for Completion TRA.
“Justifiable cause,” as used in section 233(f) of the Trade Act, is interpreted as having the
same meaning as used in section 233(h) of the Act. That section provides for the
extension of the eligibility periods for basic and additional TRA when the Secretary
determines there is “justifiable cause.” Accordingly, the definition of “justifiable cause”
for section 233(h) in TEGL No. 22-08, section C.6.2, applies to section 233(f).
“Justifiable cause” means circumstances beyond the worker’s control. Examples of
justifiable cause for extending the Completion TRA eligibility period include situations
where the provider changes the requirements of a training program while the program is
in progress, where a course or courses are cancelled, and where required courses are not
offered in accordance with the originally anticipated schedule, and the state is unable to
identify an alternative that will allow for completion of the training program within the 20
week period. However, an extension will not increase the maximum number of payable
Completion TRA weeks above 13.
C.3.3 Completion TRA Eligibility for Workers Choosing the 2011 Program
Workers covered under certifications of petitions filed after February 13, 2011 (February
14, 2011), and on or before October 21, 2011, who receive benefits and services under the
2002 program until December 20, 2011, and who choose to change to the 2011 Program,
as discussed in paragraph A.2.3 above. The same requirements for Completion TRA that
apply to workers covered under certifications of petitions filed after the date of enactment
will apply to these workers. Accordingly, where a worker changes to the 2011 Program,
the state must take prompt action to review the training plan already in place for that
worker. Unless the approved plan is for very short-term training, such as a 3-month
certificate program, the state must amend that plan to establish benchmarks to determine
the worker’s satisfactory progress towards meeting those benchmarks for the worker to
receive the maximum 13 weeks of Completion TRA.

19

C.4

Maximum Number of Weeks of TRA

The maximum number of weeks of TRA for which a worker may be eligible includes the
maximum number of weeks payable for Basic TRA, Additional TRA and Completion TRA,
or 130 weeks. Basic TRA is payable for up to 52 weeks following separation, minus any
weeks of unemployment insurance (UI) to which the worker was entitled (or would have
been entitled if the worker had applied) in the first benefit period, to workers who completed
or are enrolled in or participating in TAA-approved training, or are covered under one of the
remaining training waivers. Following Basic TRA eligibility, up to 65 weeks of Additional
TRA is payable in the 78-week period that follows the last week of entitlement to Basic TRA
or beginning with the first week of approved training if the training begins after the last week
of entitlement to Basic TRA. Additional TRA remains payable to only those trade-affected
workers actually participating in TAA-approved training. With the addition of Completion
TRA, workers who meet the eligibility requirements discussed in C.3.1 and who are actually
participating in TAA-approved training may receive up to another 13 weeks of TRA,
bringing the total maximum number of weeks of TRA payable to 130 weeks.
C.5.

Reduction in Types of Waivers of the Training Requirement

Basic TRA is only payable if a worker is enrolled in TAA-approved training, is participating
in TAA-approved training, has received a waiver of the requirement to participate in TAAapproved training, or has completed TAA-approved training. Under both the 2002
Amendments and the 2009 Amendments, a state may issue a waiver of the training
requirement for Basic TRA after determining that training is not feasible or appropriate for
the worker for the following six reasons:
(1) Recall. – The worker has been notified that the worker will be recalled by the firm
from which the separation occurred.
(2) Marketable Skills—
(i) In General.—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.
(ii) Marketable Skills Defined.—For purposes of clause (i), the term
‘marketable skills’ may include the possession of a postgraduate degree from an
institution of higher education (as defined in section 102 of the Higher Education Act
of 1965 (20 U.S.C. 1002)) or an equivalent institution, or the possession of an
equivalent postgraduate certification in a specialized field.
(3) 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.

20

(4) 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.
(5) Enrollment Unavailable. – The first available enrollment date for the worker’s
approved training is within 60 days after the date of the determination made under this
paragraph, or, if later, there are extenuating circumstances for the delay in enrollment,
as determined under guidelines issued by the Secretary.
(6) 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 education schools, as defined in section 3 of the Carl D. Perkins
Vocational and Technical Education Act of 1998 (20 U.S.C. 2302), and employers), no
suitable training for the worker is available at reasonable cost, or no training funds are
available.
Under the 2011 Amendments, states may no longer issue waivers on the grounds of: 1)
Recall, 2) Marketable Skills, or 3) Retirement. The three remaining grounds for which states
can issue waivers are: 1) Health, 2) Enrollment Not Available, and 3) Training Not Available.
Statute: Section 212(a) of the TAAEA amends section 231(c) of the Trade Act of 1974 (19
U.S.C. § 2291), Waivers of Training Requirements, to read:
(C)WAIVERS OF TRAINING REQUIREMENTS.—
(1) ISSUANCE OF WAIVERS—The Secretary may issue a written statement to an
adversely affected worker waiving the requirement to be enrolled in training described in
subsection (a)(5)(A) if the Secretary determines that it is not feasible or appropriate for the
worker, because of 1 or more of the following reasons:
(A) HEALTH—The worker is unable to participate in training due to the health of the
worker, except that a waiver under this subparagraph shall not be construed to exempt a
worker from requirements relating to the availability for work, active search for work, or
refusal to accept work under Federal or State unemployment compensation laws.
(B) ENROLLMENT UNAVAILABLE.—The first available enrollment date for the
approved training of the worker is within 60 days after the date of the determination
made under this paragraph, or, if later, there are extenuating circumstances for the delay
in enrollment, as determined pursuant to guidelines issued by the Secretary.
(C) 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 education schools, as defined in section 3 of the Carl
D. Perkins Vocational and Technical Education Act of 1 998 (20 U.S.C. 2302), and
employers), no training that is suitable for the worker is available at a reasonable cost,
or no training finds are available.
Administration: Basic TRA is only payable if an individual is enrolled in TAA-approved
training, participating in TAA-approved training, has received a waiver of the requirement to
participate in training, or has completed TAA-approved training.

21

A state may not grant a worker a waiver of the training requirement for Basic TRA on the
basis of three of the six alternative criteria in effect under the 2002 Amendments and 2009
Amendments and described in TEGL No. 11-02, section D.3 and TEGL No. 22-08, section,
section C.3 of Attachment A, respectively: Recall, Marketable Skills, or Retirement. A state
may continue to issue waivers available under the remaining criteria established under the
2002 Amendments: Health of the Worker, Enrollment Not Available, and Training Not
Available. Therefore, workers who meet the requirements of these waiver provisions, as
described in TEGL No. 11-02, section D.3, may still be eligible for Basic TRA without
enrolling in training.
C.6. Establishment of a Federal Good Cause Provision for Waiving Certain Time
Limits
The TAAEA establishes a new Federal “good cause” provision that allows for a waiver for
good cause of deadlines relating to time limitations on filing an application for TRA or
enrolling in training. This provision supersedes the state good cause provision applicable to
these deadlines under the 2009 Amendments, as described in section C.7 of TEGL No. 22-08.
Statute: Section 212(b) of the TAAEA amends section 234(b) of the Trade Act of 1974 (19
U.S.C. § 2294) to read:
(b) Special Rule on Good Cause for Waiver of Time Limits or Late Filing of Claims. —
The Secretary shall establish procedures and criteria that allow for a waiver for good cause
of the time limitations with respect to an application for a trade readjustment allowance or
enrollment in training under this chapter.
Administration: Under the 2011 Amendments, states must waive the time limitations with
respect to an application for a trade readjustment allowance or enrollment in training at any
time after making a determination that there is good cause for issuing a waiver, in accordance
with the federal standard. The federal standard requires states to consider the following
factors, if relevant, before waiving these time limitations. These factors are:
1. Whether the worker acted in the manner that a reasonably prudent person would have
acted under the same or similar circumstances.
2. Whether the worker received timely notice of the need to act before the deadline passed.
3. Whether there were factors outside the control of the worker that prevented the worker
from taking timely action to meet the deadline.
4. Whether the worker’s efforts to seek an extension of time by promptly notifying the state
were sufficient.
5. Whether the worker was physically unable to take timely action to meet the deadline.
6. Whether the worker’s failure to meet the deadline was because of the employer warning,
instructing or coercing the worker in any way that prevented the worker’s timely filing of
an application for TRA or to enroll in training.

22

7. Whether the worker’s failure to meet the deadline was because the worker reasonably
relied on misleading, incomplete, or erroneous advice provided by the state.
8. Whether the worker’s failure to meet the deadline was because the state failed to perform
its affirmative duty to provide advice reasonably necessary for the protection of the
worker’s entitlement to TRA.
9. Whether there were other compelling reasons or circumstances which would prevent a
reasonable person under the circumstances presented from meeting a deadline for filing
an application for TRA or enrolling in training including:










neglect, a mistake, or an administrative error by the state,
illness or injury of the worker or any member of the worker's immediate family
the unavailability of mail service for a worker in a remote area
a natural catastrophe such as an earthquake or a fire or flood
an employer’s failure or undue delay in providing documentation, including
instructions, a determination or notice or pertinent and important information
compelling personal affairs or problems that could not reasonably be postponed
such as an appearance in court or an administrative hearing or proceeding,
substantial business matters, attending a funeral, or relocation to another residence
or area
the state failed to effectively communicate in the worker’s native language and the
worker has limited understanding of English
loss or unavailability of records due to a fire, flood, theft or similar reason.
Adequate documentation of the availability of the records includes a police, fire or
insurance report, containing the date of the occurrence and the extent of the loss or
damage.

In cases where the cause of the worker’s failure to meet the deadline for applying for TRA or
enrolling in training was the worker’s own negligence, carelessness, or procrastination, a
state may not find that good cause exists to allow the state to waive these time limitations.
D. TRAINING
The TAAEA generally restores the provisions of the 2009 Amendments on training,
including the availability of pre-separation and part-time training, but makes important
changes, as explained below. For more information on Training under the 2009 Program, see
TEGL No. 22-08, section D. Please note changes to the guidance in sections D.1 and D.4 of
TEGL No. 22-08, as explained below; however, all other paragraphs in section D. continue to
apply.
D.1.

Establishing Training Benchmarks

States must establish benchmarks at the beginning of the worker’s training program,
where the approved training program will extend beyond the duration of available Basic
and Additional TRA, in order to establish eligibility for Completion TRA. In order to
ensure workers have access to Completion TRA, if needed, States must establish

23

benchmarks in all but very short-term training, such as a 3-month certificate program,
because the establishment of benchmarks is a useful practice, which may be required later
in the worker’s training if unanticipated circumstances arise. Inclusion of benchmarks in
the training plan should be considered when the training plan is initially established, and,
in the unusual event that benchmarks are not included in the initial plan, any time the plan
is amended.
D.2.

Length of Training

The 2011 Amendments do not include a specific limitation on the length of an approvable
training program for a Trade-Affected Worker. However, 20 CFR 617.22(f)(2) limits the
maximum length of approvable training to 104 weeks (during which training is
conducted), so that a training program would not extend too far beyond the worker’s
TRA. In this respect, the 2011 Act does not change the Trade Act. However, consistent
with TEGL No. 11-02 and TEGL No. 22-08, we interpret the 2011 Amendments as
allowing the maximum length of an approvable training program to match the maximum
number of payable weeks of income support (UI plus TRA), or 130 weeks during which
training is conducted.
This limitation aligns the maximum durations of training and income support, and reflects
the fact that for most workers, the availability of income support is critical to the ability
of the worker to complete a training program. However, most workers will not have a
full 130 weeks of income support available at the beginning of training; rather most
workers will have used some weeks of income support, such as 26 weeks or more of
unemployment insurance, before the first week in which training occurs. We interpret the
2011 Amendments as permitting approval of training extending beyond the weeks of
TRA available to the individual worker, as described in section D.5.1 of TEGL No. 2208. However, the appropriate length of training will depend on individual circumstances,
and Completion TRA is only available to workers whose training program will be
completed within the eligibility period established in Section C.3.2 above.
D.3. Cap on Funding for TAA Training, Other Benefits and Services, and
Administration
The annual cap on funds available to states under section 236 of the Trade Act is $575
million for FY 2012 and FY 2013, and is a pro-rated portion of this amount for the first
quarter of FY 2014. Effective FY 2012, however, the 2011 Amendments provide that
funding for job search allowances, relocation allowances, case management and
employment services, and state administration of these benefits, as well as training, are
included under that cap. While this change reduces the amount of funding available for
training, it allows states flexibility to use the available funds to provide the best mix of
services and benefits for Trade-Affected Workers in their respective states.
Statute: Section 214(a) of the TAAEA amends section 236(a)(2)(A) of the Trade Act of
1974 (19 U.S.C. § 2296) to read:

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(2)(A) The total amount of funds available to carry out this section and sections 235,
237, and 238 shall not exceed—
(i) $575,000,000 for each of fiscal years 2012 and 2013; and
(ii) $143,750,000 for the 3-month period beginning on October 1, 2013 and
ending on December 31, 2013.
Statute: Section 214(c) of the TAAEA amends section 245 of the Trade Act of 1974 (19
U.S.C. § 2317) to read:
(c) REALLOTMENT OF FUNDS.—
(1) IN GENERAL.—The Secretary may—
(A) reallot funds that were allotted to any State to carry out sections 235 through
238 and that remain unobligated by the State during the second or third fiscal year
after the fiscal year in which the funds were provided to the
State; and
(B) provide such realloted funds to States to carry out sections 235 through 238 in
accordance with procedures established by the Secretary.
Administration: A state’s allocation of its portion of the funds available under the $575
million cap in funding for training, job search allowances, relocation allowances,
employment and case management services, and associated administration costs is subject
to two conditions. Under section 235A, quoted below in section G, not more than 10
percent of a state’s allocation may be used for administration, and at least 5 percent must
be used to provide case management and employment services. Therefore, a state may
use more than 5 percent of its allocation to provide case management and employment
services if it determines that greater funds are needed to provide such services to
adversely affected workers in its state.
In addition, the 2011 Amendments provide authority for ETA to recapture unexpended
TAA funds from states that have not fully used their funding in the second and third year,
and reallocate those funds to states with a demonstrated pattern of need.
Further clarification about funding changes will be provided in guidance on the FY 2012
funding allocation.
E. JOB SEARCH ALLOWANCES
The 2011 Amendments may significantly change a state’s administration of job search
allowances. The statutory changes provide greater flexibility to states by allowing them to
decide whether to offer workers the opportunity to apply for job search allowances, in
accordance with the amounts of allowance and maximum payment conditions described in
the section below. The 2011 Amendments do not restore the level of job search allowances
under the 2009 Amendments, but set the level as no more than the level of job search
allowances under the 2002 Amendments. However, the provisions of 20 CFR 617.30
through 617.35 continue to apply to the delivery of these allowances.

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Statute: Section 214(d)(1) of the TAAEA amends section 237(a) of the Trade Act of 1974
(19 U.S.C. § 2297) to read:
(a) JOB SEARCH ALLOWANCE AUTHORIZED.—
(1) IN GENERAL.—Each State may use funds made available to the State to carry out
sections 235 through 238 to allow an adversely affected worker covered by a certification
issued under subchapter A of this chapter to file an application with the Secretary for
payment of a job search allowance.
Statute: Section 214(d)(2) of the TAAEA amends section 237(b) of the Trade Act of 1974
(19 U.S.C. § 2297) to read:
(b) AMOUNT OF ALLOWANCE.—
(1) IN GENERAL.—Any allowance granted under subsection (a) shall provide
reimbursement to the worker of not more than 90 percent of the necessary job search
expenses of the worker as prescribed by the Secretary in regulations.
(2) MAXIMUM ALLLOWANCE.—Reimbursement under this subsection may not
exceed $1,250 for any worker.
Statute: Section 214(d)(3) of the TAAEA amends section 237(c) of the Trade Act of 1974
(19 U.S.C. § 2297) to read:
(c) EXCEPTION.—Notwithstanding subsection (b), a State may reimburse any adversely
affected worker for necessary expenses incurred by the worker in participating in a job
search program approved by the Secretary.
Administration: Job search allowances are no longer entitlements for workers who meet the
eligibility requirements. Instead, states have discretion to decide whether to offer job search
allowances as a benefit for workers served under the 2011 Program. In addition, states will
no longer receive separate funds for job search allowances, but will receive one allocation
that may be used for training, job search allowances, relocation allowances, case management
and employment services, and associated administration costs.
The 2011 Amendments retain the discretion of the Secretary to prescribe regulations for the
reimbursement of the cost of necessary job search expenses, but provides that the amount of
the allowance may reimburse the worker for “not more than 90 percent” of such expenses.
The regulations governing the administration of job search allowances published at 20 CFR
617.30 through 617.35 remain in effect until such time as they are amended through notice
and comment rulemaking to address the statutory change in section 237(c) of “90 percent” to
“not more than 90 percent.” Section 617.35(a) provides for the computation of the amount of
a job search allowance as “90 percent of the total costs including each of the following
allowable transportation and subsistence items” enumerated in that regulation. Because that
regulation is not inconsistent with the 2011 Amendments, it will continue to apply to job
search allowances issued under the 2011 Program where states choose to offer them as a
benefit. However, because the 2011 Amendments provide a higher maximum reimbursement

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amount for a job search allowance, the “$800” in section 617.34(b) is interpreted to be
“$1,250.” Note that job search allowances remain an entitlement for workers served under
the 2002 Program or the 2009 Program.
F. RELOCATION ALLOWANCES
The 2011 Amendments may significantly change a state’s administration of relocation
allowances. The statutory changes provide greater flexibility to states by allowing them to
decide whether to offer workers the opportunity to apply for relocation allowances, in
accordance with the amounts of allowance and maximum payment conditions described in
the section below. The 2011 Amendments do not restore the level of relocation allowances
of the 2009 Amendments, but set the level as no more than the level of relocation allowances
under the 2002 Amendments. However, the provisions of 20 CFR 617.40 through 617.48
continue to apply to the delivery of these allowances.
Statute: Section 214(e)(1) of the TAAEA amends section 238(a) of the Trade Act of 1974
(19 U.S.C. § 2298) to read:
(a) RELOCATION ALLOWANCE AUTHORIZED.—
(1) IN GENERAL.—Each State may use funds made available to the State to carry
out sections 235 through 238 to allow an adversely affected worker covered by a
certification issued under subchapter A of this chapter to file an application for a
relocation allowance with the Secretary, and the Secretary may grant the relocation
allowance, subject to the terms and conditions of this section.
Statute: Section 214(e)(2) of the TAAEA amends section 238(b) of the Trade Act of 1974
(19 U.S.C. § 2298) to read:
(b) AMOUNT OF ALLOWANCE— Any relocation allowance granted to a worker under
subsection (a) shall include —
(1) not more than 90 percent of the reasonable and necessary expenses (including,
but not limited to, subsistence and transportation expenses at levels not exceeding those
allowable under section 236(b) (1) and (2) specified in regulations prescribed by the
Secretary), incurred in transporting the worker, the worker’s family, and household
effects; and
(2) a lump sum equivalent to 3 times the worker’s average weekly wage, up to a
maximum payment of $1,250.
Administration: Relocation allowances are no longer entitlements for workers who meet
the eligibility requirements. Instead, states have discretion on whether to offer relocation
allowances as a benefit for workers served under the 2011 Program. In addition, states will
no longer receive separate funds for relocation allowances, but will receive one allocation
that may be used for training, job search allowances, relocation allowances, case management
and employment services, and associated administration costs.

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The 2011 Amendments retain the discretion of the Secretary to prescribe regulations for the
reimbursement of the cost of necessary expenses, but provide that the amount of the
allowance may reimburse the worker for “not more than 90 percent” of such expenses and a
lump sum equivalent to 3 times the worker’s average weekly wage, up to a maximum
payment of $1,250. The regulations governing the administration of relocation allowances
published at 20 CFR 617.40 through 617.48 remain in effect until such time as they are
amended through notice and comment rulemaking to address the statutory change in section
237(c) of “90 percent” to “not more than 90 percent.” Sections 617.45 through 617.48
provide for the computation of the amount of a relocation allowance as 90 percent of
allowable items reduced by any amount the individual is entitled to be paid or reimbursed for
such expenses from any other source, and defines the items allowable, the computation of the
travel allowance, and the computation of the moving allowance. Because those regulations
are not inconsistent with the 2011 Amendments, they will continue to apply to relocation
allowances issued under the 2011 Program where states choose to offer them as a benefit.
However, because the 2011 Amendments provide a higher maximum reimbursement amount
for a relocation allowance, the “$800” in section 617.45(a)(3) is interpreted to be “$1,250.”
Note that relocation allowances remain an entitlement for workers being served under the
2002 Program or the 2009 Program.
G. EMPLOYMENT AND CASE MANAGEMENT SERVICES
The TAAEA restores the employment and case management service provisions of section
235A of the 2009 Amendments, except for funding for this entitlement as discussed in
section D above. The 2011 Amendments apply to TAA funds only, and not to funds
available to states under the WIA, or the Wagner-Peyser Act, which also may be used to
provide employment and case management services to adversely affected workers in
accordance with WIA regulations. For additional information on employment and case
management service under the 2009 Amendments, see TEGL No. 22-08, section G. Except
as noted below, the provisions of section G apply to workers served under the 2011
Amendments. Note that section G.2 changes as described below.
Statute: Section 214(b) of the TAAEA amends section 235A of the Trade Act of 1974 (19
U.S.C. § 2295a) to read:
Of the funds made available to a State to carry out sections 235 through 238 for a fiscal
year, the State shall use --(1) not more than 10 percent for the administration of the trade adjustment assistance for
workers program under this chapter, including for --(A) processing waivers of training requirements under section 231;
(B) collecting, validating, and reporting data required under this chapter; and
(C) providing reemployment trade adjustment assistance under section 246; and
(2) not less than 5 percent for employment and case management services under section
235.

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Administration: States are once again required to make employment and case management
services available to adversely affected workers and adversely affected incumbent workers.
These services may be provided using TAA funds or through agreements with partner
programs. However, states will no longer receive separate funds for employment and case
management services, but will receive one allocation that may be used for training, job search
allowances, relocation allowances, employment and case management services, and
associated administration costs. States may use the funds provided to provide case
management services to meet the needs of Trade-Affected Workers. Note that the 2011
Amendments require that states spend at least 5 percent of the funds received for these
purposes to provide employment and case management services. The additional $350,000 in
separate case management funding for each state available under the 2009 Amendments has
been eliminated.
H. REEMPLOYMENT TRADE ADJUSTMENT ASSISTANCE (RTAA)
PROVISIONS
The TAAEA restores RTAA, a wage supplement option available to older workers. However
the TAAEA changed the benefit levels and income limit. RTAA provides income support to
eligible workers over the age of 50 who find jobs that pay lower wages than the job from
which they were separated. RTAA subsidizes a portion of the wage difference between their
new wages and their old wages. Changes to RTAA under the 2011 Amendments are
explained below. For additional information on RTAA under the 2009 Amendments, see
TEGL No. 11-02, Section H. Except as noted below, the provisions of Section H apply to
workers served under the 2011 Amendments. Note that Sections H.3 and H.5 change as
described below.
Under the 2011 Amendments, the maximum benefit amount is up to $10,000, paid over a
period of up to two years. To be eligible for RTAA, a worker must earn less $50,000 in
annual salary when reemployed, and must meet other eligibility criteria that also applied to
ATAA applicants.
Statute: Section 215 of the TAAEA reads:
(a) IN GENERAL.—Section 246(a) of the Trade Act of 1974 (19 U.S.C. 2318(a)) is
amended—
(1) in paragraph (3)(B)(ii), by striking ‘‘$55,000’’ and inserting ‘‘$50,000’’; and
(2) in paragraph (5)—
(A) in subparagraph (A)(i), by striking ‘‘$12,000’’ and inserting ‘‘$10,000’’; and
(B) in subparagraph (B)(i), by striking ‘‘$12,000’’ and inserting ‘‘$10,000’’.
Administration: The TAAEA reinstates the structure of the RTAA program under the 2009
Program, but at the income eligibility limit and maximum benefit amount of the ATAA
program. Under the 2011 Amendments, the new employment that qualifies the worker for
RTAA must not pay more than $50,000 annually. Under the 2011 Amendments, the
maximum benefit amount is up to $10,000, paid over up to two years.

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Under the 2011 Amendments, RTAA does not require a separate group certification and
workers may receive training while receiving this benefit, as explained in TEGL No. 22-08
and its Change 1.
I. STATE OPERATIONS.
The TAAEA reinstates the State Operations provisions explained in TEGL No. 22-08,
Section II, including the alien verification requirements and the requirement to implement
control measures. The TAAEA changes the performance measures and reporting
requirements; however, those changes do not go into effect until FY 2013. ETA will issue
further instructions to states to allow ample time for programming these changes before
October 1, 2012.
J. HEALTH COVERAGE TAX CREDIT (HCTC)
Subtitle B of the TAAEA retroactively reinstates a number of HCTC enhancements that were
available to workers under the 2009 Program, and increases the credit rate from 65 percent
under the 2002 Program to 72.5 percent reimbursement of health insurance costs for eligible
participants. This HCTC is retroactive to February 13, 2011 for workers who were eligible
during that time period, and payment for monthly premiums going forward will apply to
coverage months beginning with the month 30 days after enactment of the 2011
Amendments. These changes apply to all eligible workers, regardless of whether they are
being served under the 2002 Program, the 2009 Program, or the 2011 Program, including
workers who choose to switch from the 2002 Program to the 2011 Program and those who
remain in the 2002 Program. For additional information on HCTC provisions under the 2009
Program, see UIPL No. 21-09 and
http://www.irs.gov/individuals/article/0,,id=187948,00.html.
Administration: The Internal Revenue Service administers the HCTC, which helps “eligible
TAA recipients” and “eligible alternative TAA recipients” and other eligible workers and
their families pay for their qualified health insurance premiums. “Eligible alternative TAA
recipients” includes ATAA recipients and RTAA recipients. The TAAEA restores the
“Special Rule” as described in UIPL No. 21-09 that expands the definition of an “eligible
TAA recipient.” An eligible TAA recipient continues to be a worker who receives Trade
Readjustment Allowances (TRA) for any day of a month (and the next subsequent month) or
who would receive TRA but for the fact that s/he has not exhausted UI entitlement, and is
potentially eligible for HCTC for that month.
The restored special rule expands that definition to also include: 1) a worker who is in a
break in approved training that exceeds 30 days, and the break falls within the period for
receiving TRA provided under the section 233 of the Trade Act; or, 2) who is receiving UI
for any day of such month and would be eligible to receive TRA (except that s/he has not
exhausted UI) for such month, without regard to the enrollment in training requirements.

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In operating the 2011 Program, states should apply the instructions in UIPL No. 21-09 for
identifying “eligible TAA recipients.” In addition, the TAAEA restores the continued
qualification of family members after certain events as provided under the 2009 Program.
Finally, the TAAEA also restores Consolidated Omnibus Budget Reconciliation Act
(COBRA) benefits for TAA eligible workers provided under the 2009 Program.
6. Financial Reporting. ETA will provide additional guidance to states about the financial
reporting requirements under the TAAEA, including clarifications for the ETA 9130.
7. Sunset Provisions. The 2011 Amendments sunset on December 31, 2013, after which date
the 2011 Amendments will no longer apply to the Trade Act and the provisions of the 2002
Amendments, with three provisions of the 2011 Amendments listed below, will apply. The
“reverted TAA program” established under the sunset provisions of the TAAEA, is authorized to
be in effect from January 1, 2014, through December 31, 2014.
Administration: The reverted TAA program retains the following provisions of the 2011
Amendments:




Retains the elimination of training waivers based on recall, marketable skills, and
retirement.
Retains the elimination of the additional 26 weeks of TRA for workers participating in
prerequisite or remedial training.
Retains the authority for the Secretary to provide up to 13 weeks of additional TRA,
(Completion TRA) for qualifying workers.

ETA will issue instructions to implement the reverted TAA program, as necessary.
8. Paperwork Reduction Act (PRA) Statement. The information collections referenced in
this TEGL have been approved by the OMB under Control Number 1205-0342, expires
01/31/2013 and 1205-0392, expires 04/30/2013. According to the PRA, no persons are required
to respond to a collection of information unless such collection displays a valid OMB Control
Number. 44 U.S.C. 3507. Send comments regarding the burden estimate or any other aspect of
this collection of information, including suggestions for reducing this burden, to the U.S.
Department of Labor, Employment and Training Administration, Office of Trade Adjustment
Assistance, 200 Constitution Avenue, N.W., Room N-5428, Washington, DC 20210 and
reference OMB Control Number 1205-0342 or 1205-0392.
9. Action Requested. States will inform all appropriate staff of the contents of these
instructions.
10. Inquiries. Please direct all inquiries to the appropriate Regional Office.

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