1. OMB 1205-0540 Revised TAA Administrative Collection of States (TAAACS).xlsx

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Overview

Survey
Worker Lists

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Sheet 1: Survey

	U.S. Department of Labor			ETA Form-9189, TAA Administrative Collection of States
	Employment and Training Administration			OMB No. 1205-0540
	Office of Trade Adjustment Assistance			Expires: MM/DD/YYYY
	The purpose of this collection is to collect data on state organization and operations to facilitate the identification of best practices in the TAA program. Unless otherwise specified, responses should be limited to staff, benefits, and processes used in the TAA program. However, the TAA program should include all TAA-funded staff, benefits, and processes including, but not limited to, Trade Readjustment Allowances (TRA) and Reemployment Trade Adjustment Assistance (RTAA).
	Paperwork Reducation Act Statement
	According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 5 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is mandatory under Section 239(c) of Title II, Chapter 2 of the Trade Act of 1974, as amended (19 USC § 2271 et seq.). 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, 200 Constitution Avenue, N-5428, Washington, D.C. 20210, and reference the OMB Control Number. Note: Please do not return the completed TAA Administrative Collection of States (TAAACS) to this address.
	Privacy Statement
	The U.S. Department of Labor will protect the privacy of the information you provide to the full extent of the law, in accordance with the Trade Act, 19 USC § 2272 (e)(3)(c), the Trade Secrets Act, 18 USC § 1905, the Freedom of Information Act, 5 USC § 552, and 29 CFR Parts 70 and 90.
	Definitions
	TaOA - Training and Other Activities (TaOA) is one of three grant types that support the TAA program with the other two funding Trade Readjustment Allowance (TRA) and Reemployment Trade Adjsutment Assistance (RTAA) benefits. The TaOA grant is three year funds and has components of administration, case management, job search and relocation, and training funds. Cost classification requirements are described in 20 CFR 618.860(b).
	FTE - Full-Time Equivalent workers. Staff who work less than full time or split their time between the TAA program and other programs should be recorded by the portion of time they spend on the TAA program. For example, a staff member who is full time but only spends half their time on TAA should be recorded as 0.5 FTE. FTE should be counted if they are funded by a current TaOA grant. If the state does not currently have an applicable TaOA grant, they should report based on who be funded by such a grant.
	TAA Merit FTE - TAA Merit FTE are the subset of FTE (above) that meet the defintion of merit staffing under 5 CFR 900.604, which are generally state employees hired through a merit-based hiring system aand meeting certain standards of training and fair treatment.
	Local Office - A comprehensive or affiliate one-stop center.
	Region - A sub-state group of local offices or geographic area for administrative purposes for the TAA program. This may or may not be the same as regional designations under other programs.
	Fiscal - This is the state unit or office that generates fiscal reporting such providing information to be entered on the ETA-9130 form.
	#	Questions		Response
State Organization				Total FTE	TAA Merit FTE	TAA Non-Merit FTE
			Calculated Total FTE:	0	0	0
	1	How many FTE are employed for the purpose of state administration such as policy and other staff? Excludes those counted in Questions #2, #3, #4, and #5. FTE in Questions #1 through #3 should represent FTE classified as administrative expenditures.		0
	2	How many FTE are employed for the purpose of performance reporting and data analysis? Excludes those counted in Questions #1, #3, #4, and #5. FTE in Questions #1 through #3 should represent FTE classified as administrative expenditures.		0
	3	How many FTE are employed for the purpose of fiscal reporting? Excludes those counted in Questions #1, #2, #4, and #5. FTE in Questions #1 through #3 should represent FTE classified as administrative expenditures.		0
	4	How many FTE are employed for the purpose of providing indirect participant support such as supporting local offices? Excludes those counted in Questions #1, #2, #3, and #5. FTE in Questions #4 and #5 should represent FTE classified as case management expenditures.		0
	5	How many FTE are employed for the purpose of providing direct participant support such as case managers? Excludes those counted in Questions #1, #2, #3, and #4. FTE in Questions #4 and #5 should represent FTE classified as case management expenditures.		0
	6	How many local offices does your state have?
	7	If your local offices set up into regions that group local offices for the purposes of support and administration, how many regions does your state have? If not, specify zero.
	8.1	Estimate the distribution of experience for TAA staff involved in state administration of TAA (percentage of staff):	% Expert
	8.2		% Intermediate
	8.3		% Novice
	9.1	Estimate the distribution of experience for local staff involved in TAA case management (percentage of staff):	% Expert
	9.2		% Intermediate
	9.3		% Novice
	10	Is new client intake conducted by state merit staff or non-merit staff?
	11	Are the case managers most closely working with TAA participants state merit staff or non-merit staff?
	12	Are TAA case managers centrally organized or locally managed?
	13	Is the creation of standardized operating procedures or similar products done centrally or locally?
	14	Does your state use standardized TAA forms (eligibility, individualized employment plans, training plans, etc.) across local areas?
	15	What is your cost allocation methodology for American Jobs Center infrastructure costs?
Outreach	16	What unit develops public information materials (not forms) for TAA in your state?
	17.1	For each method for identifying layoffs, select the best description of its role in your state's process for determining when to file petitions. (Systematized indicates a process with a clear protocol and schedule. It may or may not include electronic automation.)	Warn Notices
	17.2		UI Records
	17.3		Direct Notice from Companies
	17.4		Notice from Workers
	17.5		Notice from Union Officials
	17.6		News Articles or Media Reports
	17.7		Social Media
	17.8		Workforce Program Partners
	18.1	For each group, select the most appropriate description of their responsibility for filing a TAA petition.	TAA State Staff
	18.2		TAA Local Staff
	18.3		Rapid Response State Staff
	18.4		Rapid Response Local Staff
	18.5		Other Local Staff
	19	What unit contacts employers to get the worker list?
	20.1	Select how these sources are used for identifying worker contact information?	Employers
	20.2		Union Officials
	20.3		State Records (UI, Coenrollment, etc.)
	20.4		Other Workers
	20.5		Worker Self-Identification
	20.6		Rapid Response Surveys / Sign-Up Sheets
	20.7		Other Sources
	21.1	Select how these methods are used to contact workers?	Employer/Union/Peer Counselor as Intermediary
	21.2		Emails
	21.3		Phone Calls
	21.4		Newspaper Notices
	21.5		Online Notices
	21.6		Social Media
	21.7		Text Message
	21.8		Mailed Letters
	21.9		Other Method
Eligibility and Program Benefits and Services	22	Does your State use UI wage records to determine TAA eligibility?
	23	Does your State use Federal Employer Identification Numbers (FEIN) in whole or in part to determine TAA eligibility?
	24	What unit determines initial TAA eligibility (in the certified worker group, not for individual benefits)?
	25	Which staff determine initial TAA eligibility (in the certified worker group, not for individual benefits)?
	26	Which staff make TAA training eligibility determinations?
	27	Which staff approve individual TAA training plans?
	28	Which staff make TRA eligibility determinations?
	29	Which staff make A/RTAA eligibility determinations?
	30	Is there a training amount threshold over which additional approvals must be obtained?
	31	If so, what is that amount?
	32	Does the state approve stand-alone remedial training without the goal of subsequent credential attainment?
	33	Does the state require training plans to include credential attainment?
	34	What tool do you use for participant assessments (occupational, soft skills, needs assessments, literacy/numeracy)? If multiple tools or varying assessments are used, please describe.
	35.1	Select the best category that best describes how the following services were provided to participants in the last year:	Rapid Response Events
	35.2		TAA Orientations
	35.3		Case Management
	35.4		Training
	36.1	When are job search and relocation allowances offered? (select all that apply)	During Initial Discussion of Potential TAA Benefits
	36.2		At Case Manager Discretion
	36.3		At Training Completion
	36.4		At a Required Specific Follow-Up Time
	36.5		When Informed About Job Search/Placement Progress
	37.1	For each barrier to receiving job search and relocation, please select the best explanation for the significance of the barrier.	Participants not Informed about Benefits
	37.2		Case Managers not Informed about Benefits
	37.3		State Uncertain About Limits of Benefits
	37.4		Unclear State Process for Providing Benefits
	37.5		Disinterest in Employment Out of Commuting Area
	37.6		Commuting Area Definition Overly Broad
	37.7		Difficulty with Employer Verification
	37.8		Other Paperwork Barriers
Integration	38	Rate the level of integration between TAA and Rapid Response (None 0 to High 3):
	39.1	TAA and Rapid Response Coordination is conducted through (select appropriate response for each):	Same Agency
	39.2		Same Department
	39.3		Same Unit
	39.4		Same Administrator or Manager
	39.5		Shared Meetings
	39.6		Shared Trainings
	39.7		Cross Attendance of Unit Meetings
	39.8		Systematized Process (Electronic)
	39.9		Other Formal Process
	39.10		Informal
	40	Rate the level of integration between TAA and TRA (None 0 to High 3):
	41.1	TAA and TRA Coordination is conducted through (select appropriate response for each):	Same Agency
	41.2		Same Department
	41.3		Same Unit
	41.4		Same Administrator or Manager
	41.5		Shared Meetings
	41.6		Shared Trainings
	41.7		Cross Attendance of Unit Meetings
	41.8		Systematized Process (Electronic)
	41.9		Other Formal Process
	41.10		Informal
	42	Rate the level of integration between TAA and Fiscal (None 0 to High 3):
	43.1	TAA and Fiscal Coordination is conducted through (select appropriate response for each):	Same Agency
	43.2		Same Department
	43.3		Same Unit
	43.4		Same Administrator or Manager
	43.5		Shared Meetings
	43.6		Shared Trainings
	43.7		Cross Attendance of Unit Meetings
	43.8		Systematized Process (Electronic)
	43.9		Other Formal Process
	43.10		Informal
	44	Rate the level of integration between TAA and WIOA Dislocated Worker (None 0 to High 3):
	45	Are TAA and WIOA Dislocated Worker administered by the same agency?
	46	Are the same front-line staff (case managers / counselors) providing TAA and WIOA Dislocated Worker services?
	47	Rate the level of integration between TAA and WIOA Adult (None 0 to High 3):
	48	Are TAA and WIOA Adult administered by the same agency?
	49	Are the same front-line staff (case managers / counselors) providing TAA and WIOA Adult services?
	50	Rate the level of integration between TAA and RESEA (None 0 to High 3):
	51	Are TAA and RESEA administered by the same agency?
	52	Are the same front-line staff (case managers / counselors) providing TAA and RESEA services?
	53	Is the RESEA program providing early intervention or follow-up services?
	54	Does the RESEA program have specific procedures it uses when serving trade-affected workers?
	55	Rate the level of integration between TAA and the Local Workforce Development Boards (None 0 to High 3):
	56	Rate the level of integration between TAA and Business Services (None 0 to High 3):
	57	Rate the level of integration between TAA Remedial Training and Adult Basic Education (None 0 to High 3):
	58	Rate the level of integration between TAA and Adult Education (None 0 to High 3):
	59	Rate the level of integration between TAA and Apprenticeship (None 0 to High 3):
	60	Rate the level of integration between TAA and JVSG/Veterans (None 0 to High 3):
	61	Rate the level of integration between TAA and Vocational Rehab (None 0 to High 3):
	62	Rate the level of integration between TAA and SNAP 50/50 (None 0 to High 3):
	63	Does your state currently utilize a common exit policy?
	64	What is your state co-enrollment policy for TAA participants and WIOA Adult?
	65	What is your state co-enrollment policy for TAA participants and WIOA Dislocated Worker?
IT Systems and Reporting	66	Does your state have a performance reporting or data analysis unit that incorporates TAA?
	67	Are there designated staff specializing in TAA data?
	68.1	That unit provides data and analysis to:	DOL
	68.2		State Stakeholders
	68.3		Local Stakeholders
	69	How many different IT systems are used in the generation of the TAA PIRL?
	70	What type of system is your current case management system?
	71	What is your primary case management vendor (if any)?
	72	Has your state used TAA case management funds for IT upgrades in the last 3 years?
	73	Date of last major IT upgrade to TAA Case Management System(s) completed?
	74	Estimated completion date of next expected major IT upgrade to TAA Case Management System(s), if known?
	75	Date of last major IT upgrade to UI System(s) completed?
	76	Estimated completion date of next expected major IT upgrade to UI System(s), if known?
	77	Date of last major IT upgrade to Financial System(s) completed?
	78	Estimated completion date of next expected major IT upgrade to Financial System(s), if known?
	79	What best describes the current use of electronic files by your Case Managers?
	80	What best describes how signatures are collected from participants?
	81.1	Select the best category for what IT solutions are provided to conduct each task. Refer to the following definitions: Integrated System: State provided system for conducting multiple tasks, including this one. Separate System: State provided system with the primary purpose of completing this specific task. Non-Integrated Commercially Available Tools: standard tools such as email, basic websites, and meeting software. Not Available: the State does not provide IT solutions.	Participant job search?
	81.2		Provide contact information for case managers?
	81.3		Direct asynchronous communication (like email) between participants and case managers?
	81.4		Direct synchronous communication (like real-time chat) between participants and case managers?
	81.5		Provide information on the TAA Program?
	81.6		Provide participants information on their individual TAA eligibility?
	81.7		Provide participants information on their eligibility for individual benefits?
	81.8		Participant completion of required forms?
	82	What best describes the electronic completion of TAA forms?
	83	Does your state currently utilize a common exit policy?
	84	Is your TAA case management system shared with other Workforce Programs?
	85	What is your IT cost allocation methodology?
	86	How centralized is the management of your IT systems?
Training for TAA Staff	87.1	How is training delivered to state and local staff?	Handbook
	87.2		Conferences (Select Frequency)
	87.3		Webinars (Select Frequency of New Webinars Created)
	87.4		Regular Conference Calls (Select Frequency)
	87.5		Online Forums or Similar
	87.6		Document Depot
	87.7		New Employee Orientation
	87.8		Other
Barriers and Technical Assistance	88.1	For the following challenges, select the appropriate description of the significance of this barrier:	Companies Not Informed About TAA Program
	88.2		Identifying Potentially TAA Eligible Layoffs
	88.3		Difficulties Filing TAA Petitions
	88.4		TAA Petition Processing Time
	88.5		Difficulties Determining Individual Program Eligibility
	88.6		Difficulties Determining Individual Benefit Eligibility
	88.7		Difficulties Understanding TAA Guidance/Regulations/Law
	88.8		Reaching Affected Workers
	88.9		Workers Not Informed About TAA Program
	88.10		Worker Disinterest in Program
	88.11		Worker Unwillingness to Complete Paperwork
	88.12		Language Barriers
	88.13		Difficulties Obtaining Information from Other State Agencies
	88.14		Staffing
	88.15		Funding
	88.16		IT Resources for TAA-Related System Upgrades
	89.1	Indicate your level of interest in being further connected with similar or peer states (similarly sized, organized, or with similar challenges):	Sharing of Contact Information and Strengths or Challenges
	89.2		Establishment of Email Groups or Similar for Exchanging Information
	89.3		Participation in Regularly Occurring Meetings or Subgroups
	90.1	Indicate your level of interest in being further connected with neighboring states:	Sharing of Contact Information and Strengths or Challenges
	90.2		Establishment of Email Groups or Similar for Exchanging Information
	90.3		Participation in Regularly Occurring Meetings or Subgroups
	91.1	Strengths Assessment: For each subject area, please indicate if you believe your state has a promising practice, urgent technical assistance need, non-urgent technical assistance want, or none of the above:	Pre-Layoff Outreach to Companies
	91.2		Rapid Response and TAA Orientations
	91.3		Petition Filing
	91.4		Collection of Worker Lists
	91.5		Worker Notifications
	91.6		Outreach to Adversely Affected Workers
	91.7		Outreach to Adversely Affected Incumbent Workers
	91.8		Worker Eligibility Determinations
	91.9		Worker Intake
	91.10		Co-Enrollment and Workforce Integration
	91.11		Employment and Case Management Services
	91.12		Participant Engagement
	91.13		Participant Assessments
	91.14		Individualized Employment Plans
	91.15		Training Eligibility
	91.16		Training Completion
	91.17		Training Flexibilities
	91.18		Work-Based Learning
	91.19		TRA Eligibility Determinations
	91.20		RTAA Eligibility Determinations
	91.21		Job Search Allowances
	91.22		Relocation Allowances
	91.23		Staff Training
	91.24		Monitoring
	91.25		Participant Reporting
	91.26		Financial Reporting
	91.27		TAA Data Integrity (TAADI)
	91.28		Data Validation
	91.29		Efforts to Improve Outcomes
	91.30		Data Analysis
	91.31		Leveraging Data for External Stakeholders
	91.32		Leveraging Data for Program Improvement
	92	Would you like your strengths assessment in Question #84 to be shared with other states to facilitate technical assistance?
	93.1	With what frequency do you utilize the following technical assistance resources?	Guidance such as TEGLs and TENs
	93.2		Live WorkforceGPS Webinars
	93.3		Recorded WorkforceGPS Webinars
	93.4		WorkforceGPS Blog Posts
	93.5		Practitioner Resources Webpage for Petition Filing
	93.6		Practitioner Resources Webpage for Benefits and Services
	93.7		Practitioner Resources Webpage for Participant Reporting
	93.8		TAA Reporting FAQ Sheets
	93.9		WIOA Reporting Resources
93.10	Practitioner Resources Webpage for Financial Reporting
93.11	TAA Reporting and TAADI Ask Me Anything (AMA) Sessions
93.12	TAA Financial Ask Me Anything (AMA) Sessions
93.13	TAA Policy Office Hours
93.14	Communication with TAA Regional Contacts
93.15	Communication with TAA National Office Contacts
	94
		Affirmation of Information
		Knowingly falsifying any information on this form is a Federal offense (18 USC § 1001) and a violation of the Trade Act (19 USC § 2316). By signing below, you agree to the following statement: “Under penalty of law, I declare that to the best of my knowledge and belief the information I have provided is true, correct, and complete.”
		Name	Title
		Email	State Workforce Agency
		Signature (may be electronically signed with /s/ Name)	Date

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Sheet 2: Worker Lists

This table should be completed for all worker notifications sent during the prior fiscal year (Oct 1st through Sept 30th). -The petition number should include the numeric and suffix letters (if applicable) such as 95000A. -The date of first worker list request, is the date in which any initial contact with the company requesting the list was made. -Did the company provide the worker list should be marked as Yes if the company provided any worker list, even if incomplete. -The number of workers notified consists of a count of all workers notified of potential eligibility through any individualized method. -Notes are optional, but allow states to share information explaining the numbers such as difficulty obtaining the worker list, explanations about why there may be particular gaps between worker list and number notified, or other factors.
Petition Number (with Suffix)	Date of First Worker List Request	Did the Company Provide the Worker List?	# on Worker List	Date of First Worker Notification	# of Workers Notified	Notes (Optional)
Total	-		0	-	0