§ 618.864 Trade Adjustment Assistance Program performance. ( a ) *General rule.* Each State must report to the Department comprehensive performance accountability measures, to consist of: ( 1 ) The primary indicators of performance described in paragraph (b) of this section;
( 2 ) The additional indicators of performance established under paragraph (c) of this section, if any; and
( 3 ) A description of efforts made to improve outcomes for workers under the TAA Program that promote efficient and effective program performance as provided in this section.
( b ) *Primary indicators of performance* — ( 1 ) *Primary indicators.* The primary indicators of performance shall consist of: ( i ) The percentage and number of workers who received benefits under the TAA Program who are in unsubsidized employment during the second calendar quarter after exit from the program;
( ii ) The percentage and number of workers who received benefits under the TAA Program who are in unsubsidized employment during the fourth calendar quarter after exit from the program;
( iii ) The median earnings of workers who are in unsubsidized employment during the second quarter after exit from the program;
( iv ) The percentage of those participants enrolled in a training program under subpart F (excluding those in OJT and customized training) who attained a recognized postsecondary credential or a secondary school diploma, or its recognized equivalent, during participation in or within 1 year after exit from the program; and
( v ) The percentage and number of workers who received benefits under the TAA Program who, during a year while receiving such benefits, are in an education or training program that leads to a recognized postsecondary credential or employment and who are achieving measurable gains in skills toward such a credential or employment.
( 2 ) *Indicator relating to credential attainment.* For purposes of paragraph (b)(1)(iv) of this section, a worker who received benefits under the TAA Program who obtained a secondary school diploma or its recognized equivalent is included in the percentage counted for purposes of paragraph (b)(1)(iv) of this section only if the worker, in addition to obtaining such a diploma or its recognized equivalent, has obtained or retained employment or is in an education or training program leading to a recognized postsecondary credential within 1 year after exit from the program.
( c ) *Additional indicators.* The Department and a State may agree upon additional indicators of performance for the TAA Program, as appropriate.
( d ) *Use of wage records.* States must, consistent with State law, use quarterly wage record information, as defined in 20 CFR 677.175, in measuring the progress on program performance indicators in paragraphs (b) and (c) of this section. ( 1 ) The use of Social Security numbers from participants and such other information as is necessary to measure the progress of those participants through quarterly wage record information is authorized.
( 2 ) States that participate in data sharing agreements for the purposes of obtaining wage record information may use such data sharing agreements to obtain wage record information for workers who received benefits under the TAA Program.
( 3 ) To the extent that quarterly wage records are not available for a participant, States may use other information as is necessary to measure the progress of the participant.
( e ) *Reporting requirements* — ( 1 ) *Data required.* States must report TAA Program demographics, performance, and services data, identified in paragraphs (b) and (c) of this section, to the Department on such forms and in such manner as the Department may prescribe.
( 2 ) *Data reliability and validity.* States are required to establish procedures that are consistent with administrative guidance the Department issues to ensure the data States submit are valid and reliable.
( f ) *Publication of performance results.* The Department will publish, annually, through electronic means, including posting on the Department's website, the TAA Program performance results of the States.
( g ) *Control measures* — ( 1 ) *In general.* Each State must implement effective control measures to effectively oversee the operation and administration of the TAA Program and ensure the accurate collection of program data.
( 2 ) *Location.* The control measures must be internal to a system used by the State to collect data.
( 3 ) *Purpose.* States will implement these control measures in order to: ( i ) Oversee the operation and administration of the TAA Program under this part;
( ii ) Improve the timeliness and verifiability of reported data; and
( iii ) Verify the accuracy of reported data, and must require: ( A ) Periodic staff training;
( B ) Participation in data validation and integrity efforts, as directed by the Department;
( C ) Data analysis and monitoring on a quarterly basis to identify inaccurate data input;
( D ) Data analysis and monitoring on a quarterly basis to identify missing data; and
( E ) Resubmission of required reports upon correcting data the State identifies as a result of paragraphs (g)(3)(iii)(B) through (D) of this section.
( 4 ) *Monitoring program.* In order to ensure the effective and efficient operation of the TAA Program, States must adopt a formal monitoring program designed to review and audit worker files. ( i ) The monitoring program must be designed to identify and share best practices, identify and correct deficiencies, and identify and address staff training needs.
( ii ) A minimum quarterly random sample of 20 cases must be audited as part of the monitoring program and must include cases from at least 2 certifications issued under subpart B of this part.
( iii ) The four quarterly samples within a calendar year must also cover at least four different areas of the State administering the program.
( iv ) If circumstances preclude a State from meeting the criteria in paragraphs (g)(4)(ii) and (iii) of this section, the State must contact the appropriate ETA regional office to design a monitoring program that better suits the TAA Program in that State, and make sure it is sufficient to ensure the accuracy and verifiability of such data.
( h ) *Data on benefits received, training, outcomes, rapid response activities, and spending.* Data submitted by the States must be sufficient to provide, at a minimum, the information required in section 249B of the Act, including the following information: ( 1 ) The number of workers receiving benefits under the TAA Program;
( 2 ) The number of workers receiving each type of benefit, including employment and case management services, training, job search and relocation allowances, TRA (Basic, Additional, and Completion) and RTAA payments, and, to the extent feasible, the HCTC, if available;
( 3 ) The average time during which such workers receive each type of benefit;
( 4 ) The average number of weeks TRA were paid to workers;
( 5 ) The number of workers who report that they have received benefits under a prior certification in any of the 10 fiscal years preceding the fiscal year for which the data are collected under this section;
( 6 ) The number of workers who received TAA approved training, classified by major types of training, including but not limited to, classroom training, training through distance learning, training leading to an associate's degree, remedial education, prerequisite education, OJT, and customized training;
( 7 ) The number of workers who exited TAA approved training, including who received prelayoff training or part-time training at any time during that training;
( 8 ) The average duration of training and the average duration of training that does not include remedial or prerequisite education;
( 9 ) The number of training waivers granted, classified by type of waiver;
( 10 ) The number of workers who exited training and the average duration of such training;
( 11 ) The number of workers who do not complete training and the average duration of the training such workers completed;
( 12 ) The average cost per worker of receiving TAA approved training;
( 13 ) The percentage of workers who received TAA approved training and obtained unsubsidized employment in a field related to that training;
( 14 ) The age, preprogram educational level, and post-program credential attainment of the workers;
( 15 ) The median earnings of workers during the second calendar quarter after exit from the program, expressed as a percentage of the median earnings of such workers before the calendar quarter in which such workers began receiving benefits under this part;
( 16 ) The sectors in which workers are employed after receiving benefits under this part;
( 17 ) Whether rapid response activities were provided with respect to each petition filed;
( 18 ) The total amount of funds used to pay for TRA by the State; and
( 19 ) The total amount of the TaOA payments to the State.