TAA Program

Trade Adjustment Assistance Administrative Collection of States (TAAACS)

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

TAA Program

OMB: 1205-0540

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Overview

Survey
Worker Lists


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




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







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