50874 Federal Register / Vol. 74, No. 189 / Thursday, October 1, 2009 / Notices 

DEPARTMENT OF LABOR 

Employment and Training 

Administration 

Operating Instructions for 

Implementing the Amendments to the 

Trade Act of 1974 Enacted by the 

Trade and Globalization Adjustment 

Assistance Act of 2009 

AGENCY: Employment and Training 

Administration, Labor. 

ACTION: Notice, Training and 

Employment Guidance Letter (TEGL). 

SUMMARY: The Employment and 

Training Administration of the U.S. 

Department of Labor is publishing, for 

public information, notice of the 

issuance and availability of Training 

and Employment Guidance Letter 

(TEGL) number 22–08 entitled, 

Operating Instructions for Implementing 

the Amendments to the Trade Act of 

1974 Enacted by the Trade and 

Globalization Adjustment Assistance 

Act of 2009, signed on May 15, 2009 by 

Douglas F. Small Deputy Assistant 

Secretary for Employment and Training. 

FOR FURTHER INFORMATION CONTACT: 

Terry Clark, 202–693–3707. 

SUPPLEMENTARY INFORMATION: The 

complete text of this guidance 

document is provided in this notice. In 

addition, it is available on the ETA 

Advisory Web site at http:// 

wdr.doleta.gov/directives/ 

corr_doc.cfm?DOCN=2756. 

Subject: Operating Instructions for 

Implementing the Amendments to the 

Trade Act of 1974 Enacted by the Trade 

and Globalization Adjustment 

Assistance Act of 2009 (TEGL 22–08). 

Purpose: To assist the State Workforce 

Agencies designated by the Governor as 

‘‘cooperating state agencies’’ in 

implementing the provisions of the 

Trade and Globalization Adjustment 

Assistance Act of 2009 that amend the 

Trade Adjustment Assistance program, 

and creates or expands programs for 

Workers, Firms, Communities, and 

Farmers. 

References: The Trade and 

Globalization Adjustment Assistance 

Act of 2009 (Division B, Title I, Subtitle 

I of the American Recovery and 

Reinvestment Act of 2009, Public Law 

(Pub. L.) 111–5 (enacted on February 17, 

2009); Trade Adjustment Assistance 

Reform Act of 2002 (Pub. L. 107–210); 

the Trade Act of 1974, as amended (Pub. 

L. 93–618, as amended); 20 CFR part 

617; 29 CFR part 90; Training and 

Employment Guidance Letter (TEGL) 

No. 11–02 with Changes 1, 2, and 3; 

TEGL No. 2–03; Unemployment 

Insurance Program Letter (UIPL) No. 02– 

03, and Change 1 and Change 3; UIPL 

No. 05–03; UIPL No. 33–03. 

Definitions: For purposes of these 

operating instructions, the following 

definitions will apply: 

1. 2002 Act means the Trade Act of 

1974, Public Law 93–618, as amended 

through the Trade Adjustment 

Assistance Reform Act of 2002, Public 

Law 107–210. 

2. 2002 Amendments means the 

amendments made to the Trade Act of 

1974 by the Trade Adjustment 

Assistance Reform Act of 2002, Public 

Law 107–210. 

3. 2009 Act means the Trade Act as 

it stands in 2009, including the Trade 

and Globalization Adjustment 

Assistance Act of 2009 (TGAAA) 

amendments. 

4. 2009 Amendments means the 

TGAAA, Division B, Title I, Subtitle I of 

the American Recovery and 

Reinvestment Act of 2009, Public Law 

111–5. 

5. Trade Act of 1974, means the Trade 

Act of 1974, Public Law 93–618, as 

amended (through Pub. L. 106–113). 

6. Recovery Act means the American 

Recovery and Reinvestment Act of 2009, 

Public Law 111–5. 

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. 

8. CSA means Cooperating State 

Agency. 

9. Department or DOL means the U.S. 

Department of Labor. 

10. DOC means U.S. Department of 

Commerce. 

11. Secretary means the Secretary of 

Labor. 

12. TAA program means the Trade 

Adjustment Assistance for Workers 

program. 

13. TRA means Trade Readjustment 

Allowances. 

14. RTAA means Reemployment 

Trade Adjustment Assistance, under 

Section 246 of the 2009 Act. 

15. HCTC means Health Coverage Tax 

Credit. (Section 35, Internal Revenue 

Code (I.R.C.) of 1986) (26 U.S.C. 35) 

16. WIA means the Workforce 

Investment Act of 1998, Public Law 

105–220, as amended. (29 U.S.C. 2801 et 

seq.) 

17. Trade Affected Worker means 

workers who are members of a certified 

worker group and have been separated 

or threatened with separation. 

Background: The TAA program for 

workers was first established at the DOL 

by the Trade Act of 1974, and has been 

amended several times over the past 

thirty-five years. The latest amendments 

are contained in the 2009 Act, which is 

part of the Recovery Act. The 2009 Act 

overhauls the TAA program and 

expands TAA coverage to more workers 

and firms, including workers and firms 

in the service sector, and improves 

workers’ opportunities for training, 

health insurance coverage, and 

reemployment. 

Section 1856 of the 2009 

Amendments contains the sense of 

Congress as it applies the TAA 

programs: ‘‘the Secretaries of Labor, 

Commerce, and Agriculture should 

apply the provisions of [their respective 

trade adjustment assistance programs] 

with the utmost regard for the interests 

of workers, firms, communities, and 

farmers petitioning for benefits.’’ These 

operating instructions reflect this intent. 

DOL expects the CSAs to implement 

these instructions in accordance with 

that intent. 

Many aspects of the process for 

determining group and individual 

eligibility for TAA have been reformed 

by the 2009 Amendments. These 

amendments, as addressed in these 

operating instructions, apply to workers 

covered by petitions for adjustment 

assistance filed on or after May 18, 

2009. Workers covered by petitions filed 

on or before May 17, 2009, are subject 

to the provisions of the 2002 Act as 

described in the Operating Instructions 

provided in TEGL No. 11–02 and its 

changes, and TEGL No. 2–03 and its 

changes. These provisions remain in full 

force and effect as participants who are 

certified under the 2002 Act continue to 

seek and receive services and benefits 

under those provisions. This is true for 

all workers separated from adversely 

affected employment before the 

expiration of a certification based on a 

petition filed on or before May 17, 2009. 

Under the provisions of the 2002 Act, 

DOL receives petitions for TAA filed by 

an employer, a one-stop operator or onestop partner (as defined in section 101 

of the WIA), 29 U.S.C. 2801, a State 

dislocated worker unit established 

under title I of WIA, a group of workers, 

or their authorized representative. DOL 

conducts fact-finding investigations of 

these petitions to determine whether 

increased imports have contributed 

importantly to the workers’ 

displacement, or if the workers have 

been affected by certain shifts in 

production. States make available rapid 

response and appropriate core and 

intensive services under WIA and assist 

DOL in reviewing the petitions. If the 

findings of an investigation show that 

the workers have been adversely 

affected by increased imports or a shift 

in production of articles, the Secretary 


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of Labor issues a certification of 

eligibility to apply for adjustment 

assistance. Once a certification is 

issued, notice of the certification, 

including the reason for certification, is 

transmitted to the State and the 

petitioner, published in the Federal 

Register, and posted on the DOL Web 

site. 

Under an agreement executed by the 

Secretary of Labor and the State, the 

CSA acts as the agent of the Secretary 

to notify certified workers of potential 

TAA benefits and services, make 

eligibility determinations for 

individuals, and deliver benefits and 

services. Individual workers who are 

members of the certified worker group 

apply for benefits and services at a OneStop Career Center or other local office 

of the CSA. Individual workers who 

meet the qualifying criteria may receive 

job training, income support in the form 

of TRA, job search allowances, HCTC, a 

wage supplement in the form of ATAA 

(now RTAA), and relocation allowances. 

In addition, all workers covered by a 

certification are eligible for 

reemployment services including job 

referrals, job clubs, and resume-writing 

assistance. 

The 2009 Amendments amend the 

provisions of the 2002 Act in several 

substantial ways: 

Group Eligibility Extended to Include 

• Workers in firms that supply 

services; 

• Workers whose firm has shifted 

production to any foreign country; 

• Workers in public agencies; 

• Workers whose firm produces 

component parts based on increased 

imports of finished products; 

• Workers in firms that supply 

testing, packaging, maintenance and 

transportation services to companies 

with TAA-certified workers; and 

• Workers whose firm is identified in 

an International Trade Commission 

‘‘injury’’ determination listed in the Act. 

Program Administration and Service 

Delivery 

• Provides workers with a new 

entitlement to employment and case 

management services, and designates 

funds for that purpose; 

• Permits CSAs to waive 

requirements as necessary to ensure the 

eligibility for program benefits of 

returning service members in the same 

manner and to the same extent as if the 

service member had not served a period 

of duty; 

• Provides protections for workers 

covered under certifications delayed by 

judicial and administrative appeals; 

• Applies State UI ‘‘good cause’’ 

waiver provisions to all TAA time 

limitations; and 

• Provides minimum requirements 

for CSA reviews of waivers of the 

training requirement. 

Training 

• Raises the statutory cap on funds 

that may be allocated to the States for 

training from $220 million to $575 

million per year, and amends how DOL 

apportions those funds; 

• Allows TAA-funded training prior 

to separation from employment; 

• Allows for part-time training, but 

without TRA; and 

• Extends the deadline for enrolling 

in training in order to qualify for TRA 

to 26 weeks from the later of the 

worker’s most recent total qualifying 

separation, or 26 weeks from the 

issuance of the certification. States may 

grant an extension of the training 

deadline for up to 45 days for 

extenuating circumstances. Workers 

may also receive a waiver of the training 

requirement within the same 26-week 

plus 45-day periods. 

Income Support 

• Increases the maximum amount of 

additional TRA from 52 to 78 weeks for 

workers in long-term training; 

• Permits the payment of 78 weeks of 

additional TRA over a period of 91 

weeks, thereby allowing breaks in 

training and temporary periods of 

employment where additional TRA is 

not paid; 

• Allows payment of up to 26 more 

consecutive weeks of additional TRA if 

the worker must undertake prerequisite 

education or remedial education in 

order to complete a program of TAA 

training; 

• Allows trade-affected workers to 

elect to receive TRA instead of 

Unemployment Insurance (UI) based 

upon a second UI benefit year resulting 

from part-time or short-term work with 

a lower weekly benefit amount (WBA); 

• Creates a new standard for the 

waiver of recovery of TAA 

overpayments; and 

• Eliminates the 210-day requirement 

for making an application for training as 

a condition for the receipt of additional 

TRA. 

Wage Supplement (RTAA) 

• Eliminates the requirement for a 

group certification specifically for 

RTAA; 

• Eliminates the requirement under 

ATAA that a worker must find 

reemployment within 26 weeks of 

layoff; 

• Workers who choose and are 

eligible to receive RTAA may also 

receive regular TAA benefits and 

services: Employment and case 

management services, training, TRA 

(with limitations), relocation, HCTC, 

and job search allowances; 

• Increases the limit on wages in 

eligible reemployment to $55,000 a year; 

• Increases the individual’s benefit 

cap to $12,000; and 

• Allows a worker to qualify for 

RTAA when working part-time. 

Health Coverage Tax Credit 

• Expands the HCTC program, which 

is available to ‘‘eligible TAA 

recipients.’’ 

• Modifies the definition of an 

‘‘eligible TAA recipient’’ to permit a 

worker to receive the HCTC even though 

s/he is in a break in training of a 

duration that renders the worker 

ineligible for TRA. 

• Modifies the definition of an 

‘‘eligible TAA recipient’’ to not apply 

the training enrollment requirements to 

an individual who is receiving 

unemployment insurance 

compensation. 

• Increases the HCTC tax credit from 

65 percent to 80 percent of the amount 

a worker paid for coverage under 

qualifying health insurance; and 

• Provides for the continuation of 

HCTC eligibility for family members 

after receipt of Medicare, Death, or 

Divorce of the principle recipient. 

Job Search and Relocation 

• Amends the percentage of job 

search expenses that may be paid on 

behalf of a qualified participant to 100 

percent of the total expenses, capped at 

$1,500; and 

• Amends the percentage of 

relocation expenses that may be paid on 

behalf of a qualified participant to 100 

percent of the total expenses, plus a 

payment up to $1,500. 

Operating Instructions: The operating 

instructions contained in the attachment 

are issued to the States and the CSAs as 

guidance provided by DOL in its role as 

the principal in the TAA program. As 

agents of the Secretary of Labor, the 

States and CSAs may not vary from the 

operating instructions in this document 

without prior approval from DOL. 

Pending the issuance of regulations 

implementing the provisions of the 2009 

Act, the operating instructions in this 

document constitute the controlling 

guidance for the States and the CSAs in 

implementing and administering the 

2009 Act, as provided in the agreements 

between the States and the Secretary of 

Labor under Section 239 of the 2009 

Act. 

These Operating Instructions only 

address changes to the TAA program 


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made by the 2009 Amendments. For 

issues that are not addressed by these 

operating instructions, States must 

continue to comply with Training and 

Employment Guidance Letter (TEGL) 

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 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 Change 1; and other such 

program letters issued by the 

Department applicable to the TAA 

benefits and assistance for adversely 

affected workers covered under TAA 

certifications resulting from petitions 

filed before May 18, 2009. 

Unless otherwise noted, the 2009 Act 

takes effect for petitions filed on or after 

May 18, 2009, which is 90 days after the 

date the President signed the Recovery 

Act into law. This effective date 

includes amendments to the petitioning 

process and to the individual eligibility 

requirements and levels of TAA benefits 

and services. For convenience and 

emphasis, the effective date is repeated 

in several sections of these instructions. 

Petitions filed on and after May 18, 

2009, and certifications issued under 

those petitions, will be identified by a 

numbering sequence starting at 70,001. 

Action Required: CSAs are required to 

implement the 2009 amendments as set 

forth in these Operating Instructions for 

workers covered under petitions filed 

on or after May 18, 2009. Additionally, 

CSAs will continue to administer the 

2002 Act for workers covered under 

petitions filed before the effective date 

of the 2009 Act until all of those 

workers have exited the program. CSAs 

will inform all appropriate staff of the 

contents of these instructions. 

Inquiries: CSAs should direct all 

inquiries to the appropriate ETA 

Regional office. 

Attachment A: Operating Instructions 

for Implementing the Amendments to 

the Trade Act of 1974 Enacted by the 

Trade and Globalization Adjustment 

Assistance Act of 2009. 

Attachment B: Trade Act of 1974, as 

amended, can be accessed at http:// 

wdr.doleta.gov/directives/attach/tegl/ 

TEGL22–08aB.pdf. 

Attachment A 

Table of Contents 

Introduction 

Definitions 

A. Reauthorization and Termination 

B. Group Eligibility Requirements 

C. Trade Readjustment Allowances 

D. Training 

E. Job Search Allowances 

F. Relocatioin Allowances 

G. Employment and Case Management 

Services 

H. Reemployment Trade Adjustment 

Assistance 

I. State Operations 

J. Health Coverage Tax Credit 

Introduction 

These Operating Instructions only 

address changes to the TAA program 

made by the 2009 Amendments. For 

issues that are not addressed by these 

operating instructions, States must 

continue to comply with Training and 

Employment Guidance Letter (TEGL) 

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 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 Change 1; and other such 

program letters issued by the 

Department applicable to the TAA 

benefits and assistance for adversely 

affected workers covered under TAA 

certifications resulting from petitions 

filed before May 18, 2009. 

Definitions 

For purposes of these operating 

instructions, the following definitions 

will apply: 

• 2002 Act means the Trade Act of 

1974, Public Law 93–618, as amended 

through the Trade Adjustment 

Assistance Reform Act of 2002, Public 

Law 107–210. 

• 2002 Amendments means the 

amendments made to the Trade Act of 

1974 by the Trade Adjustment 

Assistance Reform Act of 2002, Public 

Law 107–210. 

• 2009 Act means the Trade Act as it 

stands in 2009, including the Trade and 

Globalization Adjustment Assistance 

Act of 2009 (TGAAA) amendments. 

• 2009 Amendments means the 

TGAAA, Division B, Title I, Subtitle I of 

the American Recovery and 

Reinvestment Act of 2009, Public Law 

111–5. 

• Trade Act of 1974, means the Trade 

Act of 1974, Public Law 93–618, as 

amended (through Pub. L. 106–113). 

• Recovery Act means the American 

Recovery and Reinvestment Act of 2009, 

Public Law 111–5. 

• 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. 

• CSA means Cooperating State 

Agency. 

• Department or DOL means the U.S. 

Department of Labor. 

• DOC means U.S. Department of 

Commerce. 

• Secretary means the Secretary of 

Labor. 

• TAA program means the Trade 

Adjustment Assistance for Workers 

program. 

• TRA means Trade Readjustment 

Allowances. 

• RTAA means Reemployment Trade 

Adjustment Assistance, under Section 

246 of the 2009 Act. 

• HCTC means Health Coverage Tax 

Credit. (Section 35, Internal Revenue 

Code (I.R.C.) of 1986) (26 U.S.C. 35). 

• WIA means the Workforce 

Investment Act of 1998, Public Law 

105–220, as amended. (29 U.S.C. 2801 et 

seq.). 

• Trade Affected Worker means 

workers who are members of a certified 

worker group and have been separated 

or threatened with separation. 

A. Reauthorization and Termination 

Statutory Change: Sections 1891 

through 1893 of the 2009 Amendments 

contain effective dates for the 2009 Act 

and amend section 245, 246 and 285 

relating to the authorization of 

appropriations and termination/phaseout provisions applicable to the TAA 

program under the 2002 Act and the 

TAA program under the 2009 Act. 

Administration: Section 1891 of the 

2009 Amendments provides that the 

effective date for the 2009 Act is 90 days 

after the date of enactment and the 

amendments apply to petitions filed on 

or after the effective date. Since the 

2009 Amendments were signed into law 

on February 17, 2009, the effective date 

is May 18, 2009. Therefore, petitions 

filed on or after that date will be 

governed by the 2009 Act and the 2009 

Act will apply to benefits available to 

workers covered under certifications 

issued in response to such petitions. 

Workers covered by certifications issued 

in response to petitions filed before May 

18, 2009 will continue to be governed 

by the provisions of the 2002 Act. This 

distinction means that CSAs will be 

providing benefits under two different 

sets of rules for workers covered by 

petitions filed before and on or after 

May 18, 2009. Workers covered by 

petitions filed before May 18, 2009, will 

be entitled to the benefits and services 

available under the TAA program under 

the 2002 Act, including the opportunity 

for ATAA-certified workers to elect to 


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participate in the ATAA program and 

receive the ATAA wage supplement 

benefit. Workers covered by petitions 

filed on or after May 18, 2009, will be 

entitled to benefits and services under 

the new TAA program under the 2009 

Act, including the RTAA wage 

supplement benefit. The ATAA program 

will not terminate, as provided in the 

2002 Act, five years after it was 

implemented by a State. Instead, 

workers covered by certifications for 

TAA and ATAA based on petitions filed 

before May 18, 2009, will continue to be 

eligible to receive the ATAA wage 

supplement benefit available under the 

2002 Act. 

Section 1892 amends section 245 of 

the 2002 Act to extend the authorization 

of appropriations through December 31, 

2010. This section also amends section 

285 of the 2002 Act to extend the 

termination/phase-out provision to 

December 31, 2010. Under the 

termination phase-out provision, no 

petitions filed after December 31, 2010, 

will be certified. Workers covered by 

certifications based on petitions filed on 

or before December 31, 2010, will be 

eligible to continue to receive services 

and benefits in accordance with the 

requirements in effect before the 

termination. 

Section 1893 contains other sunset 

provisions relating to the 2009 

Amendments. DOL does not believe this 

section needs to be addressed in these 

operating instructions but will issue 

additional instructions if actions 

relating to these provisions were to 

become necessary. 

The following operating instructions 

explain how the 2009 Amendments 

changed the 2002 Act, and provide 

guidance on the operation of the new 

TAA program. 

B. Group Eligibility Requirements 

B.1. Primary Worker Certification 

Criteria 

Statutory Change: Section 1801 of the 

2009 Amendments amends Section 

222(a) of the 2002 Act to read: 

(a) IN GENERAL. A group of workers shall 

be certified by the Secretary as eligible to 

apply for adjustment assistance under this 

chapter pursuant to a petition filed under 

section 221 if the Secretary determines that— 

(1) A significant number or proportion of 

the workers in such workers’ firm have 

become totally or partially separated, or are 

threatened to become totally or partially 

separated; and 

(2)(A)(i) The sales or production, or both, 

of such firm have decreased absolutely; 

(ii)(I) Imports of articles or services like or 

directly competitive with articles produced 

or services supplied by such firm have 

increased; 

(II) Imports of articles like or directly 

competitive with articles— 

(aa) Into which one or more component 

parts produced by such firm are directly 

incorporated, or 

(bb) Which are produced directly using 

services supplied by such firm, have 

increased; or 

(III) Imports of articles directly 

incorporating one or more component parts 

produced outside the United States that are 

like or directly competitive with imports of 

articles incorporating one or more 

component parts produced by such firm have 

increased; and 

(iii) The increase in imports described in 

clause (ii) contributed importantly to such 

workers’ separation or threat of separation 

and to the decline in the sales or production 

of such firm; or 

(B)(i)(I) There has been a shift by such 

workers’ firm to a foreign country in the 

production of articles or the supply of 

services like or directly competitive with 

articles which are produced or services 

which are supplied by such firm; or 

(II) Such workers’ firm has acquired from 

a foreign country articles or services that are 

like or directly competitive with articles 

which are produced or services which are 

supplied by such firm; and 

(ii) The shift described in clause (i)(I) or 

the acquisition of articles or services 

described in clause (i)(II) contributed 

importantly to such workers’ separation or 

threat of separation. 

Administration: As explained in 

greater detail below, the 2009 

Amendments substantially expand 

program coverage by expanding the 

groups of worker that the Department 

must certify. The 2009 Amendments 

expand the coverage of workers for 

firms that produce articles. Under the 

2002 Act, the Department could not 

certify workers for firms that produce a 

component part for a domestic article, 

where imports of articles like or directly 

competitive with that domestic article 

caused the separations of workers 

producing that component part. The 

2009 Act now provides, in these 

circumstances, for certification of the 

workers making the component part. It 

also provides for certification where 

separations are caused by increased 

imports of articles directly incorporating 

one or more component parts produced 

outside the United States are like or 

directly competitive with imports of 

articles incorporating one or more 

component parts produced by the 

workers’ firm. 

Significantly, the 2009 Amendments 

amend Section 222(a) of the 2002 Act to 

expand coverage to workers for firms 

that supply services on the same terms 

as workers for firms that produce 

articles. In addition, the 2002 Act 

covered workers only where production 

was shifted to certain foreign countries, 

unless there ‘‘has been or is likely to be 

an increase in imports like or directly 

competitive with articles produced by’’ 

the workers’ firm. The 2009 Act covers 

workers where there was a shift in 

production or the supply of services to 

any foreign country, regardless of 

whether there is either an actual or 

likely increase in imports. 

The 2009 Act also codifies current 

practice of covering workers in a firm 

that acquires articles from a foreign 

country that are like or directly 

competitive with articles that are 

produced by those workers’ firm. 

Similarly, the 2009 Act extends this 

practice to cover workers in a firm that 

acquires services from a foreign country 

that are like or directly competitive with 

services that are supplied by those 

workers’ firm. 

In order for the Department to issue 

a certification, the petition must satisfy 

these three criteria: 

1. A significant number or proportion 

of the workers in the workers’ firm, 

must have become totally or partially 

separated or be threatened with total or 

partial separation. 

The first criterion has not changed 

from the first worker group eligibility 

criterion applied to the TAA program 

since its inception. However, the 2009 

Amendments amend the definition of a 

‘‘firm’’ to include an ‘‘appropriate 

subdivision,’’ since those Amendments 

delete the latter term from the 

certification criteria. Accordingly, the 

term ‘‘firm,’’ as used in these operating 

instructions, includes the ‘‘appropriate 

subdivision.’’ 

2. The second criterion is satisfied if 

either (2)(A)(i) or (2)(B)(i) is satisfied: 

(i) Sales or production, or both, at the 

workers’ firm must have decreased 

absolutely, and 

(ii)(a) Imports of articles or services 

like or directly competitive with articles 

or services produced or supplied by the 

workers’ firm have increased, or 

(b) Imports of articles like or directly 

competitive with articles into which the 

component part produced by the 

workers’ firm was directly incorporated 

have increased; or 

(c) Imports of articles like or directly 

competitive with articles which are 

produced directly using the services 

supplied by the workers’ firm have 

increased; or 

(d) Imports of articles directly 

incorporating component parts not 

produced in the U.S. that are like or 

directly competitive with the article into 

which the component part produced by 

the workers’ firm was directly 

incorporated have increased. 

The first part of this requirement has 

not changed from the worker group 


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eligibility criterion applied to the TAA 

program since its inception. 

The second part of this requirement 

significantly expands the TAA 

program’s coverage to include 

certification based on increased imports 

of services as well as increased imports 

of articles. It also expands coverage 

based on increased imports to include 

imports of articles that either 

incorporate component articles 

produced by the workers’ firm or are 

produced directly using services 

supplied by the workers’ firm. In 

addition, clause (ii) expands coverage 

by allowing certification in situations 

where there has been an increase in 

imports from articles incorporating 

component parts produced in the 

United States to articles incorporating 

component parts produced outside the 

United States. 

(B)(i)(I) There has been a shift by the 

workers’ firm to a foreign country in the 

production of articles or supply of 

services like or directly competitive 

with those produced/supplied by the 

workers’ firm; or 

(ii) There has been an acquisition 

from a foreign country by the workers’ 

firm of articles/services that are like or 

directly competitive with those 

produced/supplied by the workers’ firm. 

The first part of this requirement now 

includes workers for firms that supply 

services, thus significantly expanding 

coverage to include shifts in the supply 

of services by the workers’ firm. It also 

now includes shifts of the production of 

articles or the supply of services to any 

foreign country by the workers’ firm. 

The second part of this requirement 

(subclause ii) is new and provides for 

worker group eligibility based on 

foreign contracting by the workers’ firm. 

Subclause (ii) is met if the workers’ firm 

has acquired from a foreign source 

articles or services like or directly 

competitive with those produced/ 

supplied by the workers’ firm. 

3. The increase in imports or shift/ 

acquisition must have contributed 

importantly to the workers’ separation 

or threat of separation. 

The legislation codifies the 

Department’s practice of interpreting the 

2002 Act to require a causal nexus 

between the shift of production to a 

foreign country and the workers’ 

separations. Previously, the contributed 

importantly criterion was explicit only 

in increased imports cases and was 

implicit in shift cases. The 2009 

Amendments now make the 

requirement explicit for cases involving 

a shift in production or a shift in 

acquisition of a service. 

B.2. Public Agency Worker Certification 

Criteria 

Statutory Change: Section 1801 of the 

2009 Amendments adds a new 

provision at subsection (b) of Section 

222 of the 2009 Act. Section 222(b) now 

reads: 

(b) ADVERSELY AFFECTED WORKERS IN 

PUBLIC AGENCIES.—A group of workers in 

a public agency shall be certified by the 

Secretary as eligible to apply for adjustment 

assistance under this chapter pursuant to a 

petition filed under section 221 if the 

Secretary determines that— 

(1) A significant number or proportion of 

the workers in the public agency have 

become totally or partially separated, or are 

threatened to become totally or partially 

separated; 

(2) The public agency has acquired from a 

foreign country services like or directly 

competitive with services which are supplied 

by such agency; and 

(3) The acquisition of services described in 

paragraph (2) contributed importantly to 

such workers’ separation or threat of 

separation. 

Administration: Workers of a public 

agency that has acquired from a foreign 

source services like or directly 

competitive with those supplied by the 

agency may now be certified as eligible 

to apply for TAA. Section 247(7) of the 

2009 Act defines ‘‘public agency’’ as a 

‘‘department or agency of a State or 

local government or of the Federal 

Government, or a subdivision thereof.’’ 

In order for a ‘‘public agency worker’’ 

certification to be issued, the petition 

must satisfy these three criteria: 

1. A significant number or proportion 

of the workers in the public agency have 

become totally or partially separated or 

be threatened with total or partial 

separation. 

2. The public agency has acquired 

from a foreign country services that are 

like or directly competitive with the 

services supplied by the public agency. 

3. The acquisition of services 

described in criterion 2 contributed 

importantly to the workers’ separation 

or threat of separation. 

The new certification criteria treat 

similarly workers in firms in the private 

sector that perform services and workers 

in the public sector. The first criterion 

has been used for the certification of 

workers in firms that produce articles 

since the inception of the TAA program. 

The second criterion mirrors a 

certification criterion for workers in 

firms in the private sector. The third 

criterion similarly follows the 

certification criterion for workers in the 

private sector. 

B.3. Secondarily-Affected Worker 

Certification Criteria 

Statutory Change: Section 1801 of the 

2009 Amendments renumbers 

subsection (b) of Section 222 of the 2002 

Act as subsection (c) and amends new 

Section 222(c) to read: 

(c) ADVERSELY AFFECTED SECONDARY 

WORKERS.—A group of workers shall be 

certified by the Secretary as eligible to apply 

for trade adjustment assistance benefits 

under this chapter pursuant to a petition 

filed under section 221 if the Secretary 

determines that— 

(1) A significant number or proportion of 

the workers in the workers’ firm or an 

appropriate subdivision of the firm have 

become totally or partially separated, or are 

threatened to become totally or partially 

separated; 

(2) The workers’ firm is a supplier or 

downstream producer to a firm that 

employed a group of workers who received 

a certification of eligibility under subsection 

(a), and such supply or production is related 

to the article or service that was the basis for 

such certification (as defined in subsection 

(d) (3)and (4)); and 

(3) Either 

(A) The workers firm is a supplier and the 

component parts it supplied to the firm 

described in paragraph (2) accounted for at 

least 20 percent of the production or sales of 

the workers’ firm; or 

(B) A loss of business by the workers’ firm 

with the firm described in paragraph (2) 

contributed importantly to the workers’ 

separation or threat of separation determined 

under paragraph (I). Section 1801 of the 2009 

Amendments amends Section 222 of the Act 

so that Section 222(d)(3)–(4) now reads: 

(3) DOWNSTREAM PRODUCER.— 

(A) IN GENERAL.—The term ‘downstream 

producer’ means a firm that performs 

additional, value-added production processes 

or services directly for another firm for 

articles or services with respect to which a 

group of workers in such other firm has been 

certified under subsection (a). 

(B) VALUE-ADDED PRODUCTION 

PROCESSES OR SERVICES.—For purposes 

of subparagraph (A), value-added production 

processes or services include final assembly, 

finishing, testing, packaging, or maintenance 

or transportation services. 

(4) SUPPLIER—The term ‘‘supplier’’ means 

a firm that produces and supplies directly to 

another firm component parts for articles, or 

services, used in the production of articles or 

in the supply of services, as the case may be, 

that were the basis for a certification of 

eligibility under subsection (a) of a group of 

workers employed by such other firm. 

Administration: The 2002 Act covers 

workers of a firm that supplies 

component parts (a ‘‘supplier’’) a 

primary firm (a firm that employs a 

worker group certified as eligible to 

apply for TAA) and workers of a firm 

that provides additional, value-added 

production processes (a ‘‘downstream 

producer’’) for a primary firm. 

The 2009 Act now covers suppliers 

and downstream producers where the 


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certification of workers for the primary 

firm was based upon the firm’s supply 

of services. Further, workers for 

suppliers and downstream producers 

may now be certified on the basis of the 

services they supply to, or the 

additional, value-added services they 

provide for, the primary firm. However, 

the requirement under the 2002 Act that 

the supplier must directly supply the 

primary firm has not changed. The 

component parts from the supplier must 

be used in the production of articles or 

in the supply of services that were the 

basis for the certification of a group of 

workers in the primary firm. Further, 

the component parts or services that the 

supplier supplied to the primary firm 

must either account for at least 20 

percent of the production or sales of the 

supplier, or the loss of business with the 

primary firm by the upstream firm must 

have contributed importantly to the 

upstream workers’ separations or threat 

of separations. 

The ‘‘direct’’ requirement under the 

2002 Act for downstream producers also 

remains unchanged: The downstream 

producer must perform additional, 

value-added production processes or 

services ‘‘directly’’ for a primary firm for 

articles or services with respect to 

which the group of workers in the 

primary firm was certified. However, 

the 2009 Amendments have eliminated 

the requirement that downstream 

workers may only be certified as 

secondarily affected if the workers of 

the primary firm are certified based on 

increased imports from Canada or 

Mexico or a shift of production to 

Canada or Mexico. 

In order for a certification to be 

issued, the petition must satisfy these 

three criteria: 

1. A significant number or proportion 

of the workers in the workers’ firm must 

have become totally or partially 

separated or be threatened with total or 

partial separation. 

2. The workers’ firm (or subdivision) 

is a supplier or downstream producer to 

a primary firm and such supply or 

production is related to the article or 

service that was the basis for the 

primary firm’s workers’ certification. 

3. Either A or B below is satisfied: 

(A) The workers’ firm is a supplier 

and the component parts it supplied to 

the primary firm (or subdivision) 

accounted for at least 20 percent of the 

production or sales of the workers’ firm, 

or 

(B) A loss of business by the workers’ 

firm with the primary firm (or 

subdivision) contributed importantly to 

the workers’ separation or threat of 

separation.’’ 

The new certification criteria permit a 

group of workers in a downstream 

producer to be eligible for TAA if the 

primary firm’s certification is linked to 

trade with any country, not just Canada 

or Mexico. The first criterion has not 

changed from the worker group 

eligibility criteria applied to the TAA 

program since its inception. The second 

criterion reflects the elimination of the 

requirement in the 2002 Act that the 

certification of eligibility of the 

downstream producer’s customer must 

be based on increased imports or a shift 

in production to Canada or Mexico. The 

third criterion is similar to the language 

in the 2002 Act, but also allows for 

secondary worker coverage based on 

certifications of workers in service 

sector firms. In all cases, there must 

have been a loss of sales to the certified 

firm. 

B.4. Verification of Information 

Statutory Change: Section 1801(b) of 

the 2009 Amendments adds a new 

subsection (e) to Section 222 of the 2009 

Act, as follows: 

(e)(3) VERIFICATION OF 

INFORMATION.— 

(A) CERTIFICATION.— The Secretary shall 

require a firm or customer to certify— 

(i) All information obtained under 

paragraph (1) from the firm or the customer 

(as the case may be) through questionnaires; 

and 

(ii) All other information obtained under 

paragraph (1) from the firm or the customer 

(as the case may be) on which the Secretary 

relies in certifying a group of workers under 

section 223, unless the Secretary has a 

reasonable basis for determining that such 

information is accurate and complete without 

being certified. 

(B) USE OF SUBPOENAS.—The Secretary 

shall require a workers’ firm or a customer 

of the workers’ firm to provide information 

requested by the Secretary under paragraph 

(1) by subpoena pursuant to section 249 if the 

firm or customer (as the case may be) fails 

to provide the information within 20 days of 

the Secretary’s request, unless the firm or 

customer (as the case may be) demonstrates 

to the satisfaction of the Secretary that the 

firm or customer (as the case may be) will 

provide the information within a reasonable 

period of time. 

(C) PROTECTION OF CONFIDENTIAL 

INFORMATION.—The Secretary may not 

release information obtained under 

paragraph (1) that the Secretary considers to 

be confidential business information unless 

the firm or customer (as the case may be) 

submitting the confidential business 

information had notice at the time of 

submission, that the information would be 

released by the Secretary, or the firm or 

customer (as the case may be) subsequently 

consents to the release if the information. 

Nothing in this paragraph shall be construed 

to prohibit the Secretary from providing such 

confidential business information to a court 

in camera or to another party under a 

protective order issued by a court. 

Administration: The 2009 

Amendments do not change the 

Department’s obligation to make a 

determination on the petitioning 

workers’ eligibility to apply for TAA 

based on substantive evidence, its 

authority to subpoena information 

necessary to make a determination on a 

petition, or its obligation to protect 

confidential information. 

The 2009 Act requires a firm or 

customer to verify the information it 

provides to the Department during the 

investigation of a TAA petition. Under 

the new program, the Department will 

require the firm or customer providing 

information through questionnaires or 

in other formats to certify that the 

information is accurate and complete, 

unless the Department has a reasonable 

basis for determining that such 

certification is not required. The various 

forms and communications used by the 

Department in collecting relevant 

information may include such an 

affirmation requirement. 

The 2009 Act codifies the 

Department’s practice of issuing 

subpoenas when the Department is 

unable, through other means, to obtain 

information necessary for making a 

determination. Under current practice, 

the issuance of the subpoena does not 

follow any established timeframe. 

Under the 2009 Act, the Department is 

required to issue a subpoena if the firm 

or customer fails to provide the 

information within twenty (20) days of 

the Department’s request, unless the 

firm or customer has demonstrated to 

the Department’s satisfaction that the 

information sought will be provided 

within a reasonable period of time. 

The 20 day period begins once the 

Department issues an information 

request, not at the 20th day of the 

investigation. Thus, for example, if a 

petition is filed on June 5 and if a 

Confidential Data Request is issued on 

June 11, 2009, and the firm fails to 

provide the information, the Department 

may issue a subpoena on July 1, 2009. 

Section 222(e)(3)(C) of the 2009 Act 

contains slightly different 

confidentiality protections on 

confidential information than those 

applied under the 2002 Act. The 2009 

Act expressly prohibits DOL from 

releasing information it gathers in the 

course of the investigation of a petition 

where DOL considers that information 

to be ‘‘confidential business 

information.’’ DOL currently defines 

that term in 29 CFR 90.33. 

The 2009 Act provides two exceptions 

to this confidentiality requirement, the 


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first occurs where ‘‘the firm or customer 

* * * submitting the confidential 

business information had notice, at the 

time of submission, that the information 

would be released by’’ DOL. If DOL 

determines that a firm or customer 

submitted any information in 

confidence that is not entitled to 

confidentiality, then DOL, consistent 

with past practice, will notify the firm 

or customer of this finding and permit 

it to withdraw the information. 

The 2009 Act’s second exception to 

confidentiality is the permission it 

affords DOL to provide ‘‘confidential 

business information to a court in 

camera or to another party under a 

protective order issued by a court.’’ This 

codifies past practice where DOL 

submits confidential business 

information under seal to the U.S. Court 

of International Trade on appeal of 

DOL’s denial of certification of a 

petition. It also codifies DOL’s practice 

of releasing, under a protective order 

issued by a court, confidential business 

information to plaintiffs’ attorneys in 

these proceedings. 

In addition to the 2009 Act 

exceptions, DOL will release 

confidential business information with 

the permission of the entity submitting 

it, which is consistent with the intent of 

the 2009 Amendments. DOL is 

committed to protecting business 

confidential information to the full 

extent of the law. 

B.5. Firms Identified by the 

International Trade Commission 

Statutory Change: Section 1802 of the 

2009 Amendments amends Section 222 

of the 2002 Act by adding a new 

subsection (f): 

(f) FIRMS INDENTIFIED BY THE 

INTERNATIONAL TRADE COMMISSION.— 

Notwithstanding any other provision of this 

chapter, a group of workers covered by a 

petition filed under section 221 shall be 

certified under subsection (a) as eligible to 

apply for adjustment assistance under this 

chapter if— 

(1) The workers’ firm is publicly identified 

by name by the International Trade 

Commission as a member of a domestic 

industry in an investigation resulting in— 

(A) An affirmative determination of serious 

injury or threat thereof under section 

202(b)(1); 

(B) An affirmative determination of market 

disruption or threat thereof under section 

421(b)(1); or 

(C) An affirmative final determination of 

material injury or threat thereof under 

section 705(b)(1)(A) or 735(b)(1)(A) of the 

Tariff Act of 1930 (19 U.S.C. 1671d(b)(1)(A) 

and 1673d(b)(1)(A)); 

(2) The petition is filed during the 1-year 

period beginning on the date on which— 

(A) A summary of the report submitted to 

the President by the International Trade 

Commission under section 202(f)(1) with 

respect to the affirmative determination 

described in paragraph (1)(A) is published in 

the Federal Register under section 202(f)(3); 

or 

(B) Notice of an affirmative determination 

described in subparagraph (B) or (C) of 

paragraph (1) is published in the Federal 

Register; and 

(3) The workers have become totally or 

partially separated from the workers’ firm 

within— 

(A) The 1-year period described in 

paragraph (2); or 

(B) Notwithstanding section 223(b), the 1- 

year period preceding the 1-year period 

described in paragraph (2). 

Administration: The 2009 Act 

provides, for the first time, for 

certification of a petition without a 

Departmental investigation upon certain 

findings by the International Trade 

Commission (ITC). 

In order for a certification to be 

issued, the petition must satisfy these 

three criteria: 

1. The workers’ firm must be publicly 

identified by name by the ITC as a 

member of a domestic industry in an 

investigation resulting in a finding of 

injury or market disruption under 

section 202(b)(1), 421(b)(1), 705(b)(1)(A) 

or 735(b)(1)(A) of the Tariff Act of 1930. 

2. The petition is filed within one 

year after the date on which a summary 

of the ITC’s report to the President, or 

the ITC’s affirmative finding, is 

published in the Federal Register. 

3. The workers of the firm identified 

in criterion 1 were totally or partially 

separated no more than one year before 

the publication date of the Federal 

Register notice described in criterion 2 

and no later than one year after that 

date. 

Should the petition be filed more than 

one year after the date of the publication 

of the ITC’s Federal Register notice, the 

Department will investigate whether the 

petition meets the other certification 

criteria. Further, although section 223(b) 

provides that a certification will not 

cover workers separated more than one 

year before the date of the petition on 

which that certification was granted, 

section 222(f)(3)(B) provides that a 

certification based upon an ITC finding 

covers workers separated up to a year 

before the date of the publication of the 

ITC’s Federal Register notice. 

C. Trade Readjustment Allowances 

(TRA) 

C.1. TRA Eligibility 

Statutory Change: Sections 1801, 1821 

and 1858 of the 2009 Amendments 

amend Section 231(a)(1)–(4) of the 2002 

Act to read: 

(a) Payment of a trade readjustment 

allowance shall be made to an adversely 

affected worker covered by a certification 

under subchapter A who files an application 

for such allowance for any week of 

unemployment which begins on or after the 

date of such certification, if the following 

conditions are met: 

(1) Such worker’s total or partial separation 

before the worker’s application under this 

chapter occurred— 

(A) On or after the date, as specified in the 

certification under which the worker is 

covered, on which total or partial separation 

began or threatened to begin in the adversely 

affected employment, 

(B) Before the expiration of the 2-year 

period beginning on the date on which the 

determination under section 223 was made, 

and 

(C) Before the termination date (if any) 

determined pursuant to section 223(d). 

(2) Such worker had, in the 52-week period 

ending with the week in which such total or 

partial separation occurred, at least 26 weeks 

of employment at wages of $30 or more a 

week in adversely affected employment with 

a single firm, or, if data with respect to weeks 

of employment with a firm are not available, 

equivalent amounts of employment 

computed under regulations prescribed by 

the Secretary. For the purpose of this 

paragraph, any week in which such worker— 

(A) Is on the employer-authorized leave for 

purposes of vacation, sickness, injury, 

maternity, or inactive duty or active duty 

military service for training, 

(B) Does not work because of a disability 

that is compensable under a workmen’s 

compensation law or plan of a State or the 

United States, 

(C) Had his employment interrupted in 

order to serve as a full-time representative of 

a labor organization in such firm, or 

(D) Is on call-up for purposes of active duty 

in a reserve status in the Armed Forces of the 

United States, provided such active duty is 

‘‘Federal service’’ as defined in section 

8521(a)(1) of title 5, United States Code shall 

be treated as a week of employment at wages 

of $30 or more, but not more than 7 weeks, 

in case of weeks described in subparagraph 

(A) or (C), or both (and not more than 26 

weeks, in the case of weeks described in 

subparagraph (B) or (D)), may be treated as 

weeks of employment under this sentence. 

(3) Such worker— 

(A) Was entitled to (or would be entitled 

to if the worker applied therefore) 

unemployment insurance for a week within 

the benefit period (i) in which such total or 

partial separation took place, or (ii) which 

began (or would have begun) by reason of the 

filing of a claim for unemployment insurance 

by such worker after such total or partial 

separation; 

(B) Has exhausted all rights to any 

unemployment insurance except additional 

compensation that is funded by a State and 

is not reimbursed from any Federal finds, to 

which the worker was entitled (or would be 

entitled if he applied therefore); and 

(C) Does not have an unexpired waiting 

period applicable to the worker for any such 

unemployment insurance. 

(4) Such worker, with respect to such week 

of unemployment, would not be disqualified 

for extended compensation payable under 


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the Federal-State Extended Unemployment 

Compensation Act of 1970 by reason of the 

work acceptance and job search requirements 

in section 202(a)(3) of such Act. 

Administration: Section 1821 of the 

2009 Amendments changes Section 

231(a) of the 2002 Act by eliminating 

the 60-day waiting period after a 

petition is filed to receive trade 

readjustment allowances (TRA) and 

allows receipt of those allowances for 

any week of unemployment that begins 

on or after the date of certification. This 

amendment allows workers to begin 

receiving TRA benefits immediately 

upon certification of a petition if UI 

entitlement (as defined in section 

247(12)) has been exhausted. Unlike 

under the 2002 Act, this means that no 

payments may be made retroactively for 

weeks of unemployment that occur 

before the certification was issued, but 

after the date of the petition. 

Subparagraph C.5 of these Operating 

Instructions discusses two new 

provisions that address specific issues 

that may arise because of this 

amendment in determining the first 

payable week, such as the certification 

being delayed because of appeals or 

other situations where there is 

justifiable cause to extend the eligibility 

period for basic TRA. 

Section 231(a)(1) through Section 

231(a)(4), establishing requirements for 

TRA eligibility, have not otherwise been 

substantively amended. They continue 

to require for eligibility that the worker 

be adversely affected; that the worker’s 

total or partial separation occurred 

during the period covered by the 

certification; that the worker (with 

exceptions) had 26 weeks of 

employment at $30 or more per week in 

the 52-week period ending with the 

total or partial separation from 

adversely affected employment; that the 

worker was entitled to and exhausted all 

UI entitlement, except additional 

compensation that is funded by a State 

and is not reimbursed from any Federal 

funds; and that the worker would not be 

disqualified for extended compensation 

payable under the Federal-State 

Extended Compensation Act of 1970 by 

reason of its work search and job search 

requirements. Subparagraph C.4.1 of 

these Operating Instructions discusses 

the sole exception to the requirement 

that TRA eligibility depends upon the 

exhaustion all UI other than a certain 

type of additional compensation). 

C.2. Enrollment in Training 

Statutory Change: Section 1821 of the 

2009 Amendments amends Section 

231(a)(5)(A) of the 2002 Act to read: 

(5) Such worker— 

(A)(i) Is enrolled in a training program 

approved by the Secretary under section 

236(a), and 

(ii) The enrollment required under clause 

(i) occurs no later than the latest of— 

(I) In the case of a worker whose most 

recent total separation from adversely 

affected employment that meets the 

requirements of paragraphs (1) and (2) occurs 

after the date on which the Secretary issues 

a certification covering the worker, the last 

day of the 26th week after such total 

separation, 

(II) In the case of a worker whose most 

recent total separation from adversely 

affected employment that meets the 

requirements of paragraphs (1) and (2) occurs 

before the date on which the Secretary issues 

a certification covering the worker, the last 

day of the 26th week after the date of such 

certification, 

(III) 45 days after the date specified in 

subclause (I) or (II), as the case may be, if the 

Secretary determines there are extenuating 

circumstances that justify an extension in the 

enrollment period, 

(IV) In the case of a worker who fails to 

enroll by the date required by subclause (I), 

(II), or (III), as the case may be, due to the 

failure to provide the worker with timely 

information regarding the date specified in 

such subclause, the last day of a period 

determined by the Secretary, or 

(V) The last day of a period determined by 

the Secretary to be approved for enrollment 

after the termination of a waiver issued 

pursuant to subsection (c), 

(B) Has, after the date on which the worker 

became totally separated, or partially 

separated, from the adversely affected 

employment, completed a training program 

approved by the Secretary under section 

236(a), or 

(C) Has received a written statement 

certified under subsection (c)(1) after the date 

described in subparagraph (13). 

Administration: The 2009 

Amendments leave intact the basic 

structure of Section 231(a)(5). As before, 

Section 231(a)(5)(A) requires, as a 

condition for receiving TRA, that the 

worker be enrolled in training. As 

before, Section 231(a)(5)(C) allows a 

worker to receive a waiver of the 

training requirement in order to receive 

basic TRA. Section 231(a)(5)(A)(ii) sets 

deadlines by which the enrollment in 

training must occur. These deadlines 

apply for eligibility for any TRA 

payment—basic TRA, additional TRA, 

and additional weeks paid to adversely 

affected workers who undertake 

remedial or prerequisite education. 

The 2009 Amendments lengthen the 

enrollment deadlines from 8 weeks after 

certification or 16 weeks after separation 

to the later of 26 weeks from the 

separation or certification date. This 

deadline extension allows a worker to 

actively engage in a longer job search 

before making a decision about training, 

and to make full use of the case 

management services provided under 

the 2009 Act to choose an appropriate 

training program. Additionally, in cases 

where large worker groups are 

dislocated all at once, it allows the CSA 

more time for counseling, assessment 

and other case management services 

which were difficult to perform in 

advance of the prior, shorter enrollment 

deadlines. 

The 2009 Act continues to allow for 

an extension of the enrollment 

deadlines for 45 days where the CSA 

determines that there are extenuating 

circumstances justifying the extension. 

‘‘Extenuating circumstances’’ continue 

to be circumstances beyond the control 

of the worker. This includes situations 

where training programs are abruptly 

cancelled as well as where the worker 

suffers injury or illness preventing 

participation in training. 

The 2009 Act includes a new Section 

231(a)(5)(A)(ii)(IV), providing an 

exception to the enrollment deadlines 

where the worker did not enroll by the 

deadlines because the CSA failed to 

provide the worker with timely 

information regarding the training 

enrollment deadlines. In that event, the 

worker must be enrolled by the last day 

of a period to be determined by the 

Secretary. Accordingly, the Secretary 

has determined that the worker must be 

enrolled in training or receive a waiver 

by the Monday of the first week 

occurring 60 days after the date on 

which the worker was properly notified 

of both his/her eligibility to apply for 

TAA and the requirement to enroll in 

training absent a waiver of the training 

requirement. The CSA must document 

its efforts to notify workers of the 

enrollment deadlines. 

A worker must be enrolled in training 

as a condition of basic TRA when the 

enrollment in training deadline is 

reached. Further, a CSA may not waive 

the enrollment in training requirement 

after the deadlines have passed. 

The 2009 Act continues to have an 

additional deadline for training 

enrollment that applies to workers who 

were granted a waiver of the training 

requirement, now in Section 

231(a)(5)(A)(ii)(V). Workers who have 

received a training waiver must be 

enrolled in training prior to the last day 

of a period set by the Secretary after the 

termination of a waiver in order to 

maintain future eligibility for TRA. In 

its initial implementation of the 2002 

Amendments, the Department set this 

time period to be the first Monday after 

the termination of the waiver. 

Subsequent experience operating the 

program has indicated that additional 

time is needed in some cases. 

Accordingly, the Secretary has 

determined that the worker must be 


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enrolled in training by the Monday of 

the first week occurring 30 days after 

the date on which the waiver 

terminated, whether by revocation or 

expiration. 

‘‘Enrolled in training’’ continues to 

mean that the worker’s application for 

training has been approved by the CSA 

and that the training institution has 

furnished written notice to the CSA that 

the worker has been accepted into the 

approved program which is to begin 

within 30 days of such approval. 

C.3. Waiver of Training Requirement 

Statutory Change: Section 1821 of the 

2009 Amendments amends Section 

231(c) of the 2002 Act 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) RECALL—The worker has been 

notified that the worker will be recalled by 

the firm from which the separation occurred. 

(B) 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. 

(C) RETIREMENT.—The worker is within 2 

years of meeting all requirements for 

entitlement to either— 

(i) Old-age insurance benefits under title H 

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. 

(D) 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. 

(E) 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. 

(F) 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. 

(2) DURATION OF WAIVERS.— 

(A) IN GENERAL—Except as provided in 

paragraph (3)(B), a waiver issued under 

paragraph (1) shall be effective for not more 

than 6 months after the date on which the 

waiver is issued, unless the Secretary 

determines otherwise. 

(B) REVOCATION.——The Secretary shall 

revoke a waiver issued under paragraph (I) if 

the Secretary determines that the basis of a 

waiver is no longer applicable to the worker 

and shall notify,’ the worker in writing of the 

revocation. 

(3) AGREEMENTS UNDER SECTION 

239.— 

(A) ISSUANCE BY COOPERATING 

STATES.— An agreement under section 239 

shall authorize a cooperating State to issue 

waivers as described in paragraph (1). 

(B) Review of Waivers.— An agreement 

under section 239 shall require a cooperating 

State to review each waiver issued by the 

State under subparagraph (A), (B), (D), (E), or 

(F) of paragraph (1)— 

(i) 3 months after the date on which the 

State issues the waiver; and 

(ii) On a monthly basis thereafter. 

(C) SUBMISSION OF STATEMENTS. —An 

agreement under section 239 shall include a 

requirement that the cooperating State 

submit to the Secretary the written 

statements provided under paragraph (1) and 

a statement of the reasons for the waiver. 

Administration: The 2009 

Amendments expand the definition of 

‘‘Marketable Skills.’’ Additionally, they 

provide that no review of waivers is 

necessary if issued under the 

‘‘retirement’’ reason for granting the 

waiver. Finally, they provide that 

periodic reviews of waivers issued 

under the remaining provisions need 

not occur during the first three months, 

but must be reviewed at the three-month 

mark and on a monthly basis thereafter. 

Section 231(c) sets forth the 

requirements for issuing waivers of the 

requirement under Section 231(a)(5)(A) 

that a worker be enrolled in training in 

order to receive basic TRA, if training is 

not feasible or appropriate for the 

worker. The training enrollment 

requirement may only be waived for 

receipt of basic TRA. Training may not 

be waived for receipt of additional TRA 

or additional weeks paid to workers 

who participated in remedial or 

prerequisite education. In order to 

receive additional TRA, a worker must 

be participating in approved training. 

Section 231(c)(1) continues to provide 

six specific criteria for issuing a waiver 

of the training requirement for eligibility 

for basic TRA. For convenience, those 

criteria are provided below: 

(A) Recall.—The worker has been 

notified that the worker will be recalled 

by the firm from which the separation 

occurred. 

(B) 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. 

(C) 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 therefore); or 

(ii) A private pension sponsored by an 

employer or labor organization. 

(D) 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. 

(E) 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. 

(F) 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. 


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The training requirement may be 

waived only after an assessment that 

results in a determination that one of 

the waiver provisions is met. 

These criteria and their 

administration are essentially 

unchanged. The only change to these 

criteria is the addition of subparagraph 

(B)(ii) that specifies that workers who 

possess a post-graduate degree should 

be considered to have marketable skills 

and are eligible for the marketable skills 

waiver. 

The requirement that waivers be 

reviewed within three months of the 

time they are issued provides the CSA 

with some flexibility in managing the 

waiver review process while at the same 

time allowing the State to ensure the 

worker continues to qualify for the 

waiver. It is important that the 

individual continue to receive 

appropriate case management services 

during the waiver period to ensure that 

progress continues to be made toward 

meeting the individual’s reemployment 

plan. 

C.4. Weekly Amounts of TRA 

Statutory Change: Section 1822 of the 

2009 Amendments amends Section 

232(a)(1)–(2) of the 2002 Act to read: 

(a) Subject to subsections (b), (c), and (d), 

the trade readjustment allowance payable to 

an adversely affected worker for a week of 

unemployment shall be an amount equal to 

the most recent weekly benefit amount of the 

unemployment insurance payable to the 

worker for a week of total unemployment 

preceding the workers’ first exhaustion of 

unemployment insurance (as determined for 

purposes of section 231(a)(3)(B) reduced (but 

not below zero) by— 

(1) Any training allowance deductible 

under subsection (c); and 

(2) Income that is deductible from 

unemployment insurance under the 

disqualifying income provisions of the 

applicable State law or Federal 

unemployment insurance law, except that in 

the case of an adversely affected worker who 

is participating in training under this 

chapter, such income shall not include 

earnings from work for such week that are 

equal to or less than the most recent weekly 

benefit amount of the unemployment 

insurance payable to the worker for a week 

of total unemployment preceding the 

worker’s first exhaustion of unemployment 

insurance (as determined for purposes of 

section 231(a)(3)(B)). 

Administration: Section 232(a) 

establishes the weekly amount of TRA 

a worker may receive. Section 232(a)(2) 

requires the deduction from that weekly 

amount all income that is deductible 

from UI under the disqualifying income 

provisions of State or Federal UI law. 

The 2009 Act provides, however, that 

for workers participating in approved 

training, no deduction is made for 

earnings from work for a week up to an 

amount that is equal to the worker’s 

most recent UI benefit amount (as 

determined under section 231(a)(3)(B)). 

This provision will affect only the 

benefit computation for workers who 

are participating in full-time training 

other than on-the-job training (because 

receipt of TRA requires participation in 

full-time training, as discussed in 

Section D.3 of these operating 

instructions). State payment units will 

need to reprogram their TRA payment 

process to accommodate this change in 

the amount of deductible earnings 

disregarded. This provision does not 

affect any wage calculations to 

determine a future claim for UI; it 

simply disregards wages equal to or less 

than the weekly benefit amount (WBA) 

for calculating the weekly TRA 

payment. 

C.4.1. Election of TRA or UI 

Statutory Change: Section 1822 of the 

2009 Amendments amends Section 232 

of the 2002 Act by adding a new 

subsection (d), to read: 

(d) ELECTION OF TRADE 

READJUSTMENT ALLOWANCE OR 

UNEMPLOYMENT INSURANCE.— 

Notwithstanding section 231(a)(3)(B), an 

adversely affected worker may elect to 

receive a trade readjustment allowance 

instead of unemployment insurance during 

any week with respect to which the worker— 

(1) Is entitled to receive unemployment 

insurance as a result of the establishment by 

the worker of a new benefit year under State 

law, based in whole or in part upon part-time 

or short-term employment in which the 

worker engaged after the worker’s most 

recent total separation from adversely 

affected employment; and 

(2) Is otherwise entitled to a trade 

readjustment allowance. 

Administration: Sometimes, a worker 

earns wages after the most recent 

separation from adversely affected 

employment, qualifying the worker for a 

subsequent benefit year of UI at a lower 

WBA than for the first benefit year. 

Section 231(a)(3) requires, as a 

condition of receiving TRA, that a 

worker ‘‘has exhausted all rights to any 

unemployment insurance,’’ except a 

certain type of additional compensation. 

Therefore, the worker’s TRA, based 

upon, the higher WBA of the first 

benefit year, must stop while the worker 

collects UI based upon the lower WBA 

of the second benefit year. This result 

sometimes forces a worker to quit 

training to return to work. 

Section 232(d), added by the 2009 

amendments, resolves this dilemma by 

allowing the worker, notwithstanding 

the UI exhaustion requirement of 

section 231(a)(3)(B), to elect to receive 

TRA instead of UI for any week where 

the worker meets two conditions: The 

worker is entitled to receive UI as a 

result of a new benefit year based in 

whole or in part upon part-time or 

short-term employment in which the 

worker engaged after the worker’s most 

recent total separation from adversely 

affected employment; and the worker is 

otherwise entitled to TRA. 

The first condition requires some 

explanation. It permits a worker to elect 

TRA, instead of UI based upon a new 

benefit year, only where that new 

benefit year is ‘‘based in whole or in 

part upon part-time or short-term 

employment in which the worker 

engaged after the worker’s most recent 

total separation from adversely affected 

employment. * * *’’ Thus, in 

determining whether the worker may 

elect to receive TRA instead of UI based 

upon the new benefit year, the CSA 

must determine whether the worker had 

any wages ‘‘after the worker’s most 

recent total separation from adversely 

affected employment.’’ (Emphasis 

added). If the CSA determines that the 

worker is entitled to a new benefit year 

based, in whole or part, upon those 

specified wages ‘‘after’’ the worker’s 

‘‘most total separation from adversely 

affected employment,’’ the worker may 

(if otherwise eligible) elect TRA instead 

of UI based on that new benefit year. 

The first point to note is that the Act 

uses the phrase ‘‘most recent total 

separation from adversely affected 

employment,’’ not, as in sections 

231(a)(5)(A)(ii)(I) and (II), the phrase 

‘‘most recent total separation from 

adversely affected employment that 

meets the requirements of paragraphs 

(1) and (2)’’ of section 231(a). (Emphasis 

added.) (See, also, section 233(a)(2), 

establishing the eligibility period for 

basic TRA, which uses substantively 

identical language.) Those paragraphs 

(1) and (2) of section 231(a) require that 

a worker’s separation occur during the 

period covered by the certification and 

that the worker had, with certain 

exceptions, in the 52-week period 

ending with the week in which the 

separation occurred, at least 26 weeks of 

employment at wages of $30 or more a 

week in adversely affected employment. 

The Department interprets the election 

provision at section 232(d) as looking at 

wages earned after the ‘‘most recent 

total separation from adversely affected 

employment that meets the 

requirements of paragraphs (1) and (2)’’ 

of section 231(a). 

This interpretation is advantageous to 

workers because it looks to a broader 

range of wages upon which the new 

benefit year may be based (in whole or 

in part) in order to allow the worker the 


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election. For example, a worker might, 

after having a separation meeting the 

requirements of paragraphs (1) and (2), 

have a second separation after the 

period covered by the certification. 

Were section 232(d) read literally, only 

the wages earned after that second 

separation (the ‘‘most recent 

separation’’), rather than all wages 

earned after the first separation (the 

‘‘most recent separation that meets the 

requirements of paragraphs (1) and 

(2)’’), would ‘‘count’’ in determining 

whether the worker’s new benefit year 

fell within the section permitting an 

election. The wages earned after the 

second separation might have occurred 

too recently to be used in establishing 

the second benefit year, and, in that 

event, that second benefit year would 

not fall within section 232(d). The 

worker would be ineligible to elect TRA 

over UI based upon the new benefit 

year. Thus, the Department’s 

interpretation will allow workers to 

elect TRA over UI based upon a new 

benefit year in more situations. 

The second point to note is that (in 

addition to the time period during 

which the wages must be earned) the 

new benefit year must be based in 

whole or in part upon ‘‘part-time or 

short-term employment.’’ In practice, a 

worker who establishes a UI claim with 

a WBA that is less than the TRA benefit 

amount would meet this test as the 

subsequent employment would not have 

been suitable long term employment. 

Significantly, the statute is silent as to 

what becomes of the UI claim based 

upon the second benefit year, where the 

claimant elects to receive TRA instead. 

Thus, State law applies to this UI claim. 

For States where that means a claim 

establishes a benefit year, no subsequent 

claim may be established in a later 

quarter during that benefit year, and any 

available entitlement remains, 

consistent with State law, once TRA is 

exhausted. For States where claims may 

be withdrawn if no benefits are paid, the 

worker might subsequently file a claim 

in a later quarter, and the worker might 

potentially exercise the TRA option a 

second time. 

Often, the weekly amount of the UI 

payments in the second benefit period 

will be a significant reduction from the 

weekly amount of TRA. If a worker 

establishes a new UI benefit year based 

in whole or in part upon part-time or 

short-term employment in which the 

worker engaged after the worker’s most 

recent total separation from adversely 

affected employment (meeting the 

conditions specified above), the State 

must provide the worker with the 

option to elect to continue to receive 

TRA, if the worker is otherwise eligible. 

The CSA must provide the worker an 

explanation of his/her benefit rights in 

writing, and document the worker’s 

choice in the case management file. 

C.5. Limitations on TRA 

C.5.1 Prerequisite/Remedial TRA 

Statutory Change: Sections 1823 and 

1829 of the 2009 Amendments amend 

Section 233(a)(2) of the 2002 Act to 

read: 

(2) A trade readjustment allowance under 

paragraph (1) shall not be paid for any week 

occurring after the close of the 104-week 

period (or, in the case of an adversely 

affected worker who requires a program of 

prerequisite education or remedial education 

(as described in section 236(a)(5)(D)) in order 

to complete training approved for the worker 

under section 236, the 130-week period) that 

begins with the first week following the week 

in which the adversely affected worker was 

most recently totally separated from 

adversely affected employment— 

(A) Within the period which is described 

in section 231(a)(1), and 

(B) With respect to which the worker meets 

the requirements of section 23 l(a)(2). 

Administration: The 2009 

Amendments added ‘‘prerequisite 

education’’ to ‘‘remedial education’’ as 

an exception to the 104-week eligibility 

period for basic TRA. Therefore, the 

eligibility period for basic TRA for 

workers requiring a program of either 

prerequisite education or remedial 

education is 130 weeks. Prerequisite 

education is coursework that the 

training institution requires for entry 

into the approved training program. For 

instance, some nursing programs may 

require additional math coursework that 

the worker may not have had in high 

school to begin training in the new field. 

When required, this additional 

coursework would qualify as 

‘‘prerequisite education’’ and extend the 

weeks during which basic TRA is 

potentially payable under this 

provision. 

C.5.2 Additional TRA 

Statutory Change: Section 1823 of the 

2009 Amendments amends Section 

233(a)(3) of the 2002 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 78 additional weeks in 

the 91-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 91-week period 

during which the individual is participating 

in such training. 

Administration: Section 233(a)(3) 

allows workers participating in training 

to receive additional TRA. The 2009 

Amendments increase the number of 

weeks for which a worker may receive 

additional TRA from 52 to 78. The 

eligibility requirements for additional 

TRA remain unchanged except for the 

elimination of the 210-day rule 

discussed in subparagraph C.5.3 below. 

This change provides support for 

workers to participate in longer term 

training, such as a two-year Associate’s 

degree, a nursing certification, or 

completion of a four year degree (if that 

four-year degree was previously 

initiated or if the worker will complete 

it using non-TAA funds). 

The 2009 Act also expands the 

eligibility period within which a worker 

may receive additional TRA from 52 

weeks to 91 weeks to accommodate 

breaks in training. The expansion of the 

eligibility period allows the worker 91 

weeks during which to collect 78 weeks 

of benefits. Prior to this amendment, the 

worker had a 52-consecutive week 

period during which to collect 52 weeks 

of benefits. Any weeks not claimed were 

lost. This change allows the worker to 

not claim benefits during up to 13 

weeks without losing any weeks of 

benefits. 

C.5.3 Elimination of 210-Day 

Requirement 

Statutory Change: Section 1821 of the 

2009 Amendments repeal Section 233(b) 

of the 2002 Act, eliminating the 210-day 

time requirement for the submission of 

a bona fide application for training as a 

condition of additional TRA. 

Administration: There is no longer a 

requirement that a worker make a bona 

fide application for training within the 

latter of 210 days of certification or 

separation. However, there are still 

deadlines for a worker to be enrolled in 

approved training as a condition for the 

receipt of TRA. See section C.2 of these 

operating instructions. Redesignated 

paragraphs 233(b)–(f) (covering 

adjustments in amounts of TRA, 

payments of TRA while in on-the-job 

training, breaks in training and 

extension of time for remedial 

education) remain the same as in the 

2002 Act except that paragraph 233(f) 

adds prerequisite education, discussed 

in Section C.5.1, above. 


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C.6 Special Rules for Calculating 

Separations 

C.6.1 Judicial or Administrative 

Appeal 

Statutory Change: Section 1824 of the 

2009 Amendments amends Section 233 

of the 2002 Act by adding a new 

subsection (g), to read: 

(g) SPECIAL RULE FOR CALCULATING 

SEPARATION.—Notwithstanding any other 

provision of this chapter, any period during 

which a judicial or administrative appeal is 

pending with respect to the denial by the 

Secretary of a petition under section 223 

shall not be counted for purposes of 

calculating the period of separation under 

subsection (a)(2). 

Administration: As discussed above, 

Section 233(a)(2) establishes a 104-week 

eligibility period (130 weeks for workers 

requiring prerequisite or remedial 

education) for basic TRA. This period 

begins with the first week following the 

week in which the worker was most 

recently totally separated from 

adversely affected employment within 

the period covered by the certification 

and with respect to which the worker 

meets certain tenure requirements in 

that employment. 

This new section 233(g) tolls this 

eligibility period during a judicial or 

administrative appeal of the 

Department’s denial of a certification. 

The tolling of deadlines is necessary; 

otherwise a successful appeal might be 

meaningless since all or most of the 

workers’ eligibility period might lapse 

by the time the certification is granted. 

In the event of a certification issued 

as a result of an appeal of a negative 

determination denying certification, the 

104-week (130-week as applicable) 

eligibility period for basic TRA will 

begin with the week following the week 

in which the group was certified. There 

is no need to adjust the enrollment 

deadlines in such a circumstance 

because the applicable deadline will be 

26 weeks after the certification is issued. 

Moreover, the enrollment deadlines may 

be extended due to extenuating 

circumstances or State good cause rules 

as with any other waivers. 

C.6.2 Justifiable Cause To Extend the 

Period 

Statutory Change: Section 1824 of the 

2009 Amendments amends Section 233 

of the 2002 Act by adding a new 

subsection (h), to read: 

(h) SPECIAL RULE FOR JUSTIFIABLE 

CAUSE.—If the Secretary determines that 

there is justifiable cause, the Secretary may 

extend the period during which trade 

readjustment allowances are payable to an 

adversely affected worker under paragraphs 

(2) and (3) of subsection (a) (but not the 

maximum amounts of such allowance that 

are payable under this section). 

Administration: As discussed above, 

Section 233(a)(2) of the 2002 Act 

establishes a 104-week (130-week for 

workers requiring prerequisite or 

remedial education) period beginning 

with a worker’s most recent total 

qualifying separation during which the 

worker may receive basic TRA. Section 

233(a)(3) establishes a 91-week period 

during which a worker may receive 

additional TRA. Section 233(h) is a new 

section allowing for an extension of 

these periods for ‘‘justifiable cause,’’ 

meaning circumstances determined to 

be beyond the worker’s control by the 

CSA. In making this determination, the 

CSA will apply the State’s ‘‘good cause’’ 

law, regulations, policies and practices 

applicable to administration of the 

State’s UI laws. 

C.6.3 Military Service 

Statutory Change: Section 1824 of the 

2009 Amendments amends Section 233 

of the 2002 Act by adding a new 

subsection (i), to read: 

(i) SPECIAL RULE WITH RESPECT TO 

MILITARY SERVICE— 

(1) IN GENERAL.—Notwithstanding any 

other provision of this chapter, the Secretary 

may waive any requirement of this chapter 

that the Secretary determines is necessary to 

ensure that an adversely affected worker who 

is a member of a reserve component of the 

Armed Forces and serves a period of duty 

described in paragraph (2) is eligible to 

receive a trade readjustment allowance, 

training, and other benefits under this 

chapter in the same manner and to the same 

extent as if the worker had not served the 

period of duty. 

(2) PERIOD OF DUTY DESCRIBED.—An 

adversely affected worker serves a period of 

duty described in this paragraph if, before 

completing training under section 236, the 

worker— 

(A) Serves on active duty for a period of 

more than 30 days under a call or order to 

active duty of more than 30 days; or 

(B) In the case of a member of the Army 

National Guard of the United States or Air 

National Guard of the United States, 

performs full-time National Guard duty 

under section 502(f) of title 32, United States 

Code, for 30 consecutive days or more when 

authorized by the President or the Secretary 

of Defense for the purpose of responding to 

a national emergency declared by the 

President and supported by Federal funds. 

Administration: Under the 2002 Act, 

returning members of the Armed Forces 

and National Guard units could 

sometimes be determined to be 

ineligible for benefits if, for example, 

they missed the enrollment in training 

deadlines as a condition of TRA 

eligibility, or if the plant at which they 

worked closed while they were away on 

active duty. New section 233(i) makes 

returning service members ‘‘whole,’’ as 

if the period of military service had not 

occurred. The provision allows workers 

called up for active duty military or fulltime National Guard service to restart 

the TAA enrollment process after 

completion of military service. 

CSAs will need to apply this 

provision to any returning service 

member who either: (1) Served on active 

duty in the Armed Forces for a period 

of more than 30 days under a call or 

order to active duty of more than 30 

days; or (2) in the case of a member of 

the Army National Guard of the United 

States or Air National Guard of the 

United States, performed full-time 

National Guard duty under 32 U.S.C. 

502(f) (regarding required drills and 

field exercises) for 30 consecutive days 

or more when authorized by the 

President or the Secretary of Defense for 

the purpose of responding to a national 

emergency declared by the President 

and supported by Federal funds. Under 

section 233(i)(2), this ‘‘make-whole’’ 

provision applies only if the worker’s 

period of duty occurs before the worker 

completes a training program approved 

under section 236. However, the worker 

need not have already enrolled in or in 

fact have begun training before the 

worker’s period of duty began for this 

provision to apply. Upon separation, 

these individuals are eligible to receive 

TRA, training, and other benefits under 

this chapter in the same manner and to 

the same extent as if the worker had not 

served the period of duty. 

Accordingly, the CSAs will toll all 

deadlines for all TAA, ATAA, and 

RTAA benefits and services, as well as 

TRA eligibility periods, during a service 

member’s period of duty within the 

period described by section 233(i)(2), 

and which occurs before the worker 

completes TAA-approved training. A 

CSA must first consult with, and receive 

the Department’s permission, before 

waiving any other TAA requirement 

under section 233(i). 

C.7 Use of State Law Good Cause 

Provisions 

Statutory Change: Section 1825 of the 

2009 Amendments amends Section 234 

of the 2002 Act by adding a new 

subsection (b): 

(b) SPECIAL RULE WITH RESPECT TO 

STATE LAWS AND REGULATIONS ON 

GOOD CAUSE FOR WAIVER OF TIME 

LIMITS OR LATE FILING OF CLAIMS.—Any 

law, regulation, policy, or practice of a 

cooperating State that allows for a waiver for 

good cause of any time limitation relating to 

the administration of the State 

unemployment insurance law shall, in the 

administration of the program under this 

chapter by the State, apply to any time 


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limitation with respect to an application for 

a trade readjustment allowance or enrollment 

in training under this chapter. 

Administration: New section 234(b) 

supersedes 20 CFR 617.50(d), providing 

in part that ‘‘no provision of State law 

or regulations on good cause for waiver 

of any time limit, or for late filing of any 

claim, shall apply to any time limitation 

referred to or specified in this part 617, 

unless such State law or regulation is 

made applicable by a specific provision 

of this part 617.’’ Accordingly, CSAs 

will apply state UI ‘‘good cause’’ waiver 

provisions (laws, policies, or practices) 

to all time limitations governing TRA 

and enrollment in training. 

C.8 Waiver of Recovery of TRA 

Overpayment 

Statutory Change: Section 1855 of the 

2009 Amendments amends Section 

243(a)(1) of the 2002 Act to read: 

(a)(1) If a cooperating State agency, the 

Secretary, or a court of competent 

jurisdiction determines that any person has 

received any payment under this chapter to 

which the person was not entitled, including 

a payment referred to in subsection (b), such 

person shall be liable to repay such amount 

to the State agency or the Secretary, as the 

case may be, except that the State agency or 

the Secretary shall waive such repayment if 

such agency or the Secretary determines 

that— 

(A) The payment was made without fault 

on the part of such individual, and 

(B) Requiring such repayment would cause 

a financial hardship for the individual (or the 

individual’s household, if applicable) when 

taking into consideration the income and 

resources reasonably available to the 

individual (or household) and other ordinary 

living expenses of the individual (or 

household), 

Administration: Section 243(a)(1) of 

the 2002 Act provided that a CSA ‘‘may 

waive’’ repayment of any payment made 

in error where ‘‘the payment was made 

without fault’’ on the worker’s part and 

where requiring repayment ‘‘would be 

contrary to equity and good 

conscience.’’ The 2009 Amendments 

retained the requirement that ‘‘the 

payment was made without fault’’ on 

the worker’s part, but amended that 

section to make waiver of repayment 

mandatory (‘‘shall waive’’) where the 

worker’s financial circumstance meet 

specific criteria (as opposed to the 

general standard of ‘‘contrary to equity 

and good conscience’’) . By making 

waiver mandatory where the worker 

meets specific criteria for waiver (as 

long as the worker is not at fault), the 

2009 Act supersedes 20 CFR 

617.55(a)(2)(ii). 

The new waiver criterion requires that 

recovery of the overpayment must be 

waived if it would ‘‘cause a financial 

hardship for the individual (or the 

individual’s household, if applicable), 

when taking into consideration the 

income and resources reasonably 

available to the individual (or 

household) and other ordinary living 

expenses of the individual (or 

household).’’ This standard is more 

generous than the standard that 20 CFR 

617.55(a)(2)(ii) establishes, which 

requires the CSA to consider whether 

repayment of the overpayment would, 

among other things, cause 

‘‘extraordinary and lasting financial 

hardship * * *.’’ Section 

617.55(a)(2)(ii)(C)(1) defines that term as 

meaning that overpayment recovery 

would ‘‘result directly’’ in the ‘‘loss of 

or inability to obtain minimal 

necessities of food, medicine, and 

shelter for a substantial period of time’’ 

and ‘‘may be expected to endure for the 

foreseeable future.’’ By including 

explicit statutory waiver criteria in the 

2009 Act, Congress intended that 

overpaid individuals who are without 

fault and unable to repay their TAA 

overpayments must be granted a 

reasonable opportunity for waivers of 

overpayments. The Department is 

considering whether to provide further 

guidance on this new standard prior to 

the completion of rulemaking. 

D. Training 

D.1. Cap on Training Funds 

Statutory Change: Section 1828 of the 

2009 Amendments amends Section 

236(a)(2)(A) of the 2002 Act to read: 

(2)(A) The total amount of payments that 

may be made under paragraph (1) shall not 

exceed— 

(i) For each of the fiscal years 2009 and 

2010, $575,000,000; and 

(ii) For the period beginning October 1, 

2010, and ending December 31, 2010, 

$143,750,000. 

Administration: Section 236(a)(2)(A) 

limits the amount available to pay the 

costs of approved training each year. 

The 2009 Amendments raise the amount 

from the $220 million available each 

fiscal year since 2002, to $575 million 

for each of fiscal years 2009 and 2010, 

and $143,750,000 for the first quarter of 

fiscal year 2011. 

D.2 Pre-Separation Training 

D.2.1 Adversely Affected Incumbent 

Workers Defined 

Statutory Change: Section 1830 of the 

2009 Amendments amends Section 247 

of the 2002 Act by adding subsection 

(19), which reads: 

(19) The term ‘adversely affected 

incumbent worker’ means a worker who— 

(A) Is a member of a group of workers who 

have been certified as eligible to apply for 

adjustment assistance under subchapter A; 

(B) Has not been totally or partially 

separated from adversely affected 

employment; and 

(C) The Secretary determines, on an 

individual basis, is threatened with total or 

partial separation. 

Administration: As discussed in 

Section D.2.2 below, the 2009 Act 

provides that training may be approved 

before separation for adversely affected 

incumbent workers. This provision 

defines an adversely affected incumbent 

worker as a worker who: (1) Is a member 

of a group of workers that has been 

certified as eligible to apply for TAA 

benefits, (2) has not been totally or 

partially separated from employment 

and thus does not have a qualifying 

separation, and (3) is determined to be 

individually threatened with total or 

partial separation. A CSA may 

determine that a worker has been 

individually threatened with separation 

when the worker has received a notice 

of termination or layoff from 

employment. The CSA also may accept 

other documentation of a threat of total 

or partial separation from the firm or 

other reliable source in making a 

determination that a worker is an 

adversely affected incumbent worker 

entitled to pre-separation training. 

Section 617.4(d)(ii) of 20 CFR requires 

the CSA, upon notice of a certification, 

to notify each worker covered by a TAA 

certification of program benefits as soon 

as possible after the partial or total 

separation. A CSA satisfies this 

requirement by obtaining from the firm, 

or other reliable source, the names and 

addresses of all workers who were or 

became totally or partially separated 

before the CSA received the certification 

and within the certification period, as 

well as workers subsequently separated 

during the certification period. Because 

of the statutory expansion of the TAA 

training benefit to adversely affected 

incumbent workers, the new Secretary/ 

Governor Agreement requires the CSA 

to notify these workers of their possible 

entitlement to TAA-training as soon as 

possible before their partial or total 

separations. Thus, the CSA must 

identify, through the firm or other 

reliable source, the names and addresses 

of all adversely affected incumbent 

workers to permit the CSA to determine 

whether a worker is individually 

threatened with separation. 

Accordingly, CSAs must request a 

separate list of workers who are 

threatened with separation at the same 

time they request the list of adversely 

affected workers from the employer. 


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D.2.2 Extension of Benefits To 

Adversely Affected Incumbent Workers 

Statutory Change: Section 1830 of the 

2009 Amendments amends Section 

236(a) of the Act by adding the phrase 

‘‘or an adversely affected incumbent 

worker’’ after ‘‘adversely affected 

worker,’’ in the criteria for the approval 

of training for these two types of 

workers. In doing so, the 2009 

Amendments extend to ‘‘adversely 

affected incumbent workers’’ the same 

training benefits provided to ‘‘adversely 

affected workers’’ under the Act, except 

as provided in Section 236(a)(10), which 

is discussed below in subparagraph 

E.2.3 of these Operating Instructions. 

Administration: This provision allows 

workers threatened with total or partial 

separation from adversely affected 

employment to begin TAA-approved 

training before the date of that 

separation. ‘‘Pre-layoff training’’ is not 

the same as incumbent worker training 

programs allowable under Section 

134(a)(3) of the WIA, 29 U.S.C. 

2864(a)(3). The goal of WIA incumbent 

worker training programs is retraining 

the worker with new skills to allow the 

worker to continue employment with an 

employer. TAA pre-separation training 

is intended to allow earlier intervention 

where layoffs are planned in advance 

and the employer can specifically 

identify which workers will be affected. 

Adversely affected incumbent workers 

may begin training prior to layoff, 

thereby lessening the amount of time 

needed to complete the training 

program after the separation occurs, and 

lessening the worker’s overall length of 

unemployment. 

The criteria and limitations for 

approval of training for adversely 

affected incumbent workers are the 

same as they are for adversely affected 

workers, except as discussed below in 

section D.2.3 of these Operating 

Instructions. Adversely affected 

incumbent workers, like adversely 

affected workers, are entitled to 

employment and case management 

services, as described in section G, to 

ensure that they have the same 

assistance in developing a 

reemployment plan and choosing 

training. 

D.2.3 Incumbent Worker Exclusions 

Statutory Change: Section 1830 of the 

2009 Amendments amends Section 

236(a) of the 2002 Act by adding 

paragraph (10): 

(10) In the case of an adversely affected 

incumbent worker, the Secretary may not 

approve— 

(A) On-the-job training under paragraph 

(5)(A)(i); or 

(B) Customized training under paragraph 

(5)(A)(ii), unless such training is for a 

position other than the worker’s adversely 

affected employment. 

Administration: Pre-layoff training 

may not be approved if it consists of or 

includes on-the-job training. Moreover, 

a CSA may not approve customized 

training, meaning training that is 

designed to meet the special 

requirements of one or more employers, 

for an adversely affected incumbent 

worker unless such training is for a 

position other than the worker’s 

position in the adversely affected 

employment. CSAs will need to ensure 

that the training being provided is for a 

different position than the worker’s 

current position if the training is being 

provided under agreement with the 

worker’s current employer. An 

incumbent worker may receive preseparation training for another position 

with the worker’s current employer, but 

only if the position is not similarly 

threatened by trade, i.e. the new 

position is outside of a subdivision with 

a trade-certified worker group. 

D.2.4 Loss of Threat to Separation 

Statutory Change: Section 1830 of the 

2009 Amendments amends Section 

236(a) of the 2002 Act to add paragraph 

(11): 

(11) If the Secretary determines that an 

adversely affected incumbent worker for 

whom the Secretary approved training under 

this section is no longer threatened with a 

total or partial separation, the Secretary shall 

terminate the approval of such training. 

Administration: CSAs must evaluate 

whether the threat of total or partial 

separation continues to exist for the 

duration of the pre-layoff training. This 

can be accomplished by verifying with 

the employer that the threat of 

separation still exists before each 

subsequent portion of the training is 

funded. If the threat of separation is 

removed during a training program, 

funding of the training must cease. The 

worker would be eligible to complete 

any portion of the training program 

where TAA funds have already been 

expended, but would not be eligible for 

further TAA funding of the training 

program in the absence of a threatened 

or actual separation from the adversely 

affected employment. The worker may 

resume the approved training program 

upon the resumption of the threat or in 

the event of a total qualifying 

separation, if the six criteria for 

approval of the training under Section 

236(a)(1) are still met. 

Section 617.22(f)(2) of 20 CFR permits 

a worker approval of one training 

program per certification. A training 

program begun prior to separation 

counts as that one training program, and 

the training plan should be designed to 

meet the long-term needs of the worker 

based on the expectation that they will 

be laid off. The training program should 

also take into account the availability of 

up to 156 weeks of training. Thus, while 

a pre-separation training program may 

be resumed, a worker who has 

participated in pre-separation training 

will not be eligible for a new and 

different training program. 

D.3 Part-Time Training 

Statutory Change: Section 1830 of the 

2009 Act amends Section 236 of the 

2002 Act by adding subsection (h), 

which reads: 

(h) PART-TIME TRAINING.— 

(1) IN GENERAL.—The Secretary may 

approve full-time or part-time training for a 

worker under subsection (a). 

(2) LIMITATION.—Notwithstanding 

paragraph (1), a worker participating in parttime training approved under subsection (a) 

may not receive a trade readjustment 

allowance under section 231. 

Administration: New subsection (h) 

allows workers to choose either parttime or full-time training, although 

workers enrolled in part-time training 

are not eligible for TRA. This 

amendment supersedes 20 CFR 

617.22(f)(4), limiting training to fulltime programs. The training approval 

criteria at 20 CFR 617.22 (a) (1—6) that 

apply to the approval of full-time 

training also apply to the approval of 

part-time training. Since part-time 

training will not be accompanied by 

TRA, see Section D.5.1 of these 

Operating Instructions, which discusses 

a new statutory provision (Section 

236(a)(9)(B)(i)) permitting a CSA to 

approve training for a period longer 

than the worker’s period of eligibility 

for TRA if the worker demonstrates a 

financial ability to complete the training 

after the worker’s eligibility period. 

Additionally, participation in part-time 

training can allow a worker to 

participate in full-time work, even if 

that work is not suitable employment, as 

defined at Section 236(e). 

D.4 Length of Training 

The Act does not include a specific 

limitation on the length of approvable 

training. 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. 

The 2002 amendments extended the 

maximum duration of TRA to 104 weeks 

for most workers, but also added up to 

26 weeks of TRA for workers requiring 

remedial education, for a total potential 


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of up to 130 weeks of income support. 

Accordingly, TEGL No. 11–02 extended 

the maximum duration of approvable 

training for workers who require 

remedial education to 130 weeks to 

match the maximum duration of TRA 

availability. 

As discussed in section C.5.2 of these 

Operating Instructions, the 2009 Act 

provides up to 26 more weeks of 

additional TRA to workers for a 

potential total of 130 weeks of income 

support for most workers, as well as up 

to 26 more weeks for workers who 

require either remedial education or 

prerequisite training for a total of up to 

156 weeks of available income support. 

DOL interprets these amendments as 

allowing approval of training for a 

maximum of 156 weeks (during which 

training is conducted), consistent with 

the 156-week maximum duration of 

income support. The 2009 Act also 

allows approval of training that extends 

beyond the weeks of TRA available to 

the individual worker, as explained in 

Section D.5.1 of these Operating 

Instructions. Most workers will not have 

156 or 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 UI. 

D.5 Approval of Training 

The 2009 amendments left unchanged 

the six criteria for approval of training 

at Section 236(a)(1)(A—F) of the 2002 

Act. Accordingly, 20 CFR 617.22, 

describing the administration of the 

training approval criteria, is still 

applicable, and will be interpreted in 

the context of the 2009 Amendments, as 

elaborated upon in the following 

sections of these Operating Instructions. 

Section 236(a)(1) provides that if the 

CSA determines, with respect to an 

adversely affected worker or an 

adversely affected incumbent worker, 

that: 

(A) There is no suitable employment 

(which may include technical and 

professional employment) available for an 

adversely affected worker, 

(B) The worker would benefit from 

appropriate training, 

(C) There is a reasonable expectation of 

employment following completion of such 

training, 

(D) Training approved by the Secretary is 

reasonably available to the worker from 

either governmental agencies or private 

sources (which may include area vocational 

education schools, as defined in section 

195(2) of the Vocational Education Act of 

1963, and employers), 

(E) The worker is qualified to undertake 

and complete such training, and 

(F) Such training is suitable for the worker 

and available at a reasonable cost, the 

Secretary shall approve such training for the 

worker. Upon such approval, the worker 

shall be entitled to have payment of the costs 

of such training (subject to the limitations 

imposed by this section) paid on the worker’s 

behalf by the Secretary directly or through a 

voucher system. 

D.5.1 Qualifications To Be Applied for 

Extended Training 

Statutory Change: Section 1828 of the 

2009 Amendments amends Section 

236(a)(9)(B) of the 2002 Act by adding 

clause (i), which reads: 

(B)(i) In determining under paragraph 

(1)(E) whether a worker is qualified to 

undertake and complete training, the 

Secretary may approve training for a period 

longer than the worker’s period of eligibility 

for trade readjustment allowances under part 

I if the worker demonstrates a financial 

ability to complete the training after the 

expiration of the worker’s period of eligibility 

for such trade readjustment allowances. 

Administration: New Section 

236(a)(9)(B)(i) provides that when 

determining under Section 236(a)(1)(E) 

whether the worker is qualified to 

undertake and complete training, the 

State may approve training for longer 

than the worker’s period of TRA 

eligibility if the worker demonstrates 

the financial ability to complete the 

training after the expiration of the TRA 

eligibility period. This section mirrors 

20 CRF 617.22(a)(5)(ii) and (iii), 

permitting training approval where a 

worker’s personal or family resources 

are adequate to complete training. 

This new section makes it possible for 

workers to have access to long-term 

training such as a two-year Associate’s 

degree, a nursing certificate, or 

completion of a four-year degree if that 

four-year degree was previously 

initiated. States must not limit training 

approvals only to short-term programs, 

and must, where the worker requests it, 

consider approval of training for longer 

than the individual worker’s available 

remaining weeks of income support. For 

example, delayed enrollment in training 

may result in the exhaustion of some 

basic TRA when an adversely affected 

worker does not immediately enter 

training due to job search activities. 

Training may be approved, provided 

that the other training approval criteria 

are also met, for a period that is longer 

than the period for which TRA is 

available if the worker demonstrates the 

financial ability to support him/herself 

through the completion of the training. 

Financial ability means the ability to 

pay living expenses while in TAAapproved training after the period of 

TRA eligibility. 

Training which will exceed the 156 

maximum number of weeks currently 

allowed may not be paid for under the 

TAA program at this time. 

Consideration will be given to 

expanding the approval to include 

longer term training approval in the rule 

making process envisioned by the 

Department to implement the new 

provisions of the 2009 Act. 

D.5.2 Reasonable Cost 

Statutory Change: Section 1828 of the 

2009 Amendments also amends Section 

236(a)(9)(B) of the 2002 Act to add 

clause (ii): 

(ii) In determining the reasonable cost of 

training under paragraph (1)(F) with respect 

to a worker, the Secretary may consider 

whether other public or private funds are 

reasonably available to the worker, except 

that the Secretary may not require a worker 

to obtain such funds as a condition of 

approval of training under paragraph (1). 

Administration: Section 236(a)(9)(B) 

provides that when determining 

whether the cost of training is 

reasonable, the CSA will consider 

whether other public or private funds 

are available to the worker. This section 

ensures that training programs that 

would otherwise not be approved under 

TAA due to costs may be approved if a 

worker voluntarily commits to using 

public or private funds to pay a portion 

of the costs of training. Private funds 

may include grants (with the exception 

of certain student financial assistance, 

explained below), scholarships, 

employer funding, or other sources 

available to the participant not requiring 

the use of funds personal to the worker, 

relatives, or friends. Sections 617.22(h), 

617.25(b)(1)(iii), and 617.25(b)(5)(ii) of 

20 CFR prohibiting the use of funds 

personal to the worker remain in effect 

until such time as they are amended 

through notice and comment 

rulemaking. Further, a CSA may not 

require the worker to obtain other funds 

as a condition for approval of training. 

If the worker volunteers to use other 

funds to supplement the TAA training 

funds when the cost of training is 

otherwise not reasonable, the training 

program will be approved, if the other 

training approval criteria are met. 

Significantly, a provision of the 

Higher Education Act of 1965, codified 

at 20 U.S.C. 1087uu, provides that 

‘‘notwithstanding any other law,’’ 

certain types of student financial 

assistance (Pell Grants, benefits under 

Supplemental Educational Opportunity 

Grants, Federal educational loan 

programs, Presidential Access 

Scholarships, Federal student workstudy programs, and Bureau of Indian 

Affairs Student Assistance) ‘‘shall not be 

taken into account in determining the 

need or eligibility of any person for 


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benefits or assistance, or the amount of 

such benefits or assistance, under any 

Federal * * * program * * *.’’ 

Therefore, a CSA may not consider the 

student financial assistance in 

determining whether to approve 

training. This allows a worker to use 

student financial assistance for living 

expenses instead of tuition and thus 

provides the worker income support 

during long-term training. However, the 

worker may voluntarily choose to apply 

student financial assistance to the costs 

of training, if the training would not be 

approved because the costs would 

otherwise be found to be unreasonable. 

Regarding the ‘‘reasonable cost’’ 

criterion for training approval, it should 

be noted that the Department has not 

prohibited the limited use of ‘‘training 

caps’’ on the amount of training costs a 

CSA considers reasonable. A CSA may 

determine a maximum reasonable cost 

for training in the State, but only with 

a mechanism for exceeding that 

maximum when that results in the most 

reasonable and cost effective way of 

returning the trade affected worker to 

sustainable employment. Beyond this, 

the CSA must ensure that any ‘‘caps’’ 

developed are sufficient to cover the 

reasonable cost of suitable training for 

high growth, demand, and green 

occupations in all localities to which 

those caps apply. 

Regulatory guidance for determining 

‘‘reasonable cost’’ is found at 20 CFR 

617.22(6). Specifically, the regulations 

dictate that, for the purpose of 

determining reasonable costs of training, 

the CSA considers: 

(A) Costs of a training program shall 

include tuition and related expenses 

(books, tools, and academic fees), travel 

or transportation expenses, and 

subsistence expenses; 

(B) In determining whether the costs 

of a particular training program are 

reasonable, first consideration must be 

given to the lowest cost training which 

is available within the commuting area. 

When training, substantially similar in 

quality, content and results, is offered at 

more than one training provider, the 

lowest cost training shall be approved; 

and 

(C) Training at facilities outside the 

worker’s normal commuting area that 

involves transportation or subsistence 

costs which add substantially to the 

total costs shall not be approved if other 

appropriate training is available. In 

approving training, CSAs must consider 

cost, suitability for the worker, and 

quality and results. A CSA may approve 

a more expensive training program that 

is of demonstrably higher quality or that 

may be expected to produce better 

results for the worker in quickly 

returning to suitable employment. 

D.5.3 Apprenticeship, Higher 

Education and WIA Programs 

Statutory Change: Section 1829 of the 

2009 Act amends Section 236(a)(5) of 

the 2002 Act to read as follows: 

(5) Except as provided in paragraph (10), 

the training programs that may be approved 

under paragraph (I) include, but are not 

limited to— 

(A) Employer-based training, including— 

(i) On-the-job training, 

(ii) Customized training, and 

(iii) Apprenticeship programs registered 

under the Act of August 16, 1937 (commonly 

known as the ‘National Apprenticeship Act’; 

50 Stat. 664, chapter 663; 29 U.S.C. 50 et 

seq.), 

(B) Any training program provided by a 

State pursuant to Title I of the Workforce 

Investment Act of 1998, 

(C) Any training program approved by a 

private industry council established under 

section 102 of such Act, 

(D) Any program of remedial education, 

(E) Any program of prerequisite education 

or coursework required to enroll in training 

that may be approved under this section, 

(F) Any training program (other than a 

training program described in paragraph (7)) 

for which all, or any portion, of the costs of 

training the worker are paid— 

(i) Under any Federal or State program 

other than this chapter, or 

(ii) From any source other than this 

section, 

(G) Any other training program approved 

by the Secretary, and 

(H) Any training program or coursework at 

an accredited institution of higher education 

(described in section 102 of the Higher 

Education Act of 1965 (20 U.S.C. 1002)), 

including a training program or coursework 

for the purpose of— 

(i) Obtaining a degree or certification; or 

(ii) Completing a degree or certification 

that the worker had previously begun at an 

accredited institution of higher education. 

The Secretary may not limit approval of a 

training program under paragraph (1) to a 

program provided pursuant to title I of the 

Workforce Investment Act of 1998 (29 U.S.C. 

2801 et seq.). 

Administration: These provisions 

clarify that the TAA program can pay 

for registered apprenticeship programs, 

any prerequisite education required to 

enroll in training, and training at an 

accredited institution of higher 

education including training to obtain 

or complete a degree or certificate 

program that reasonably can be 

expected to result in employment. 

Registered Apprenticeship programs 

offer workers employment and a 

combination of on-the-job learning and 

related instruction. Since, in 

apprenticeship programs, the employer 

pays all of the apprentice’s wages, the 

on-the-job learning portion of 

apprenticeship training is not 

considered to be on-the-job training as 

defined in Section 236(c). Apprentices 

are employed at the start of their 

apprenticeship and work through a 

series of defined curricula until the 

completion of their apprenticeship 

programs. The length of registered 

apprenticeship programs varies 

depending on the specific occupation. 

Adversely affected workers can access 

registered apprenticeship programs by 

contacting their State’s Registered 

Apprenticeship Office (Contact 

information is available on-line at: 

http://www.doleta.gov/oa/ 

sainformation.cfm). 

TAA funds can be used to pay for the 

expenses associated with related 

instruction (e.g., classroom and distance 

learning), tools, uniforms, equipment 

and/or books for an adversely affected 

worker’s participation in a registered 

apprenticeship program. These TAA 

funds can be used until the worker 

reaches ‘‘suitable employment’’ (which 

is the purpose of training) or 156 weeks, 

whichever comes first, while 

participating in the registered 

apprenticeship program. Suitable 

employment as defined in Section 236 

of the Act means work of substantially 

equal or higher skill level than the 

worker’s past adversely affected 

employment, and wages for such work 

at not less than 80 percent of the 

worker’s average weekly wage. 

Additionally, because registered 

apprenticeship combines classroom 

instruction with employment, adversely 

affected workers enrolled in a registered 

apprenticeship program may not be able 

to access TRA income support due to 

their income earned through wages. 

However, the use of the RTAA benefit 

as described in Section H of these 

Operating Instructions may be an option 

for adversely affected workers who are 

being trained and employed through a 

registered apprenticeship program. In 

the case of registered apprenticeship, a 

key factor for access to and use of RTAA 

funds are the wages for the workers’ 

past adversely affected employment, as 

compared to their current wages while 

employed in a registered apprenticeship 

program as well as meeting the age 

requirement of being age 50 or older. 

Until the 2009 Act, the statute did not 

explicitly provide that TAA training 

funds may be used to obtain a college 

or advanced degree although most 

States do use the funds to assist workers 

to complete such degrees. The addition 

of Section 236(a)(5)(H) is intended to 

encourage CSAs to approve the use of 

training under TAA to obtain a two-year 

certificate or degree, or to complete a 

four-year (or more) degree that has been 

started and can be completed in a 156- 


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week period. The Department may 

consider this issue further in upcoming 

rulemaking. 

Additionally, WIA-approved training 

is an approvable TAA training option. 

However, the amendment of Section 

236(a)(5) of the 2002 Act expressly 

provides that training options available 

under the TAA program are not limited 

to training programs available under 

Title I of WIA. 

D.6 On-the-Job Training 

Statutory Change: Section 1831 of the 

2009 Amendments amends Section 

236(c)(1)–(4) of the 2002 Act to read: 

(1) IN GENERAL.—The Secretary may 

approve on-the-job training for any adversely 

affected worker if— 

(A) The worker meets the requirements for 

training to be approved under subsection 

(a)(1); 

(B) The Secretary determines that on-thejob training— 

(i) Can reasonably be expected to lead to 

suitable employment with the employer 

offering the on-the-job training; 

(ii) Is compatible with the skills of the 

worker; 

(iii) Includes a curriculum through which 

the worker will gain the knowledge or skills 

to become proficient in the job for which the 

worker is being trained; and 

(iv) Can be measured by benchmarks that 

indicate that the worker is gaining such 

knowledge or skills; and 

(C) The State determines that the on-thejob training program meets the requirements 

of clauses (iii) and (iv) of subparagraph (B). 

(2) MONTHLY PAYMENTS.—The 

Secretary shall pay the costs of on-the-job 

training approved under paragraph (1) in 

monthly installments. 

(3) CONTRACTS FOR ON-THE-JOB 

TRAINING.— 

(A) IN GENERAL.—The Secretary shall 

ensure, in entering into a contract with an 

employer to provide on-the-job training to a 

worker under this subsection, that the skill 

requirements of the job for which the worker 

is being trained, the academic and 

occupational skill level of the worker, and 

the work experience of the worker are taken 

into consideration. 

(B) TERM OF CONTRACT.—Training 

under any such contract shall be limited to 

the period of time required for the worker 

receiving on-the-job training to become 

proficient in the job for which the worker is 

being trained, but shall not exceed 104 weeks 

in any case. 

(4) EXCLUSION OF CERTAIN 

EMPLOYERS.—The Secretary shall not enter 

into a contract for on-the-job training with an 

employer that exhibits a pattern of failing to 

provide workers receiving on-the-job training 

from the employer with— 

(A) Continued, long-term employment as 

regular employees; and 

(B) Wages, benefits, and working 

conditions that are equivalent to the wages, 

benefits, and working conditions provided to 

regular employees who have worked a 

similar period of time and are doing the same 

type of work as workers receiving on-the-job 

training from the employer. 

Administration: CSAs may approve 

‘‘on-the-job’’ training (OJT) for a worker 

meeting the approval criteria of Section 

236(a)(1), implemented at 20 CFR 

617.22 (a), and the OJT criteria of 

Section 236(c)(1)(B). 

Criterion (1) (Section 236(c)(1)(B)(i)) 

requires that the OJT can reasonably 

lead to employment with the OJT 

employer. The 2002 Act removed this 

requirement completely, but the 2009 

Act reinstates it. However, approval 

should be conditioned on whether the 

OJT can reasonably lead to employment 

with the OJT employer, and not that 

there is a guarantee of employment with 

the OJT employer. Criterion (2) (Section 

236(c)(1)(B)(ii)) requires that the OJT is 

compatible with the worker’s skills. 

Criterion (3) (Section 236(c)(1)(B)(iii)) 

requires the OJT to allow the worker to 

become proficient in the job for which 

the worker is being trained. Criterion (4) 

(Section 236(c)(1)(B)(iv)) requires the 

State to be able to identify benchmarks 

or systematically evaluate whether the 

worker is gaining knowledge or skills. 

Under the 2009 Act, OJT is simply 

one of several training options for 

workers. The 2009 Amendments 

repealed the requirement at Section 

236(a)(1) that ‘‘[i]nsofar as possible,’’ 

training be provided on the job. 

Further, while the 2002 Act required 

payment for OJT to be made in equal 

monthly installments, the 2009 Act 

requires only that payment be made on 

a monthly basis. The 2009 Act expressly 

limits OJT contracts to no more than 104 

weeks. Lastly, the 2009 Act also 

provides that employers that exhibit a 

pattern of failing to provide workers 

with continued long-term employment, 

and adequate wages, benefits and 

working conditions as regular 

employees are excluded from OJT 

contracts. 

D.7. UI and TAA Benefits While in 

Training 

Statutory Change: Section 1832 of the 

2009 Amendments amends Section 

236(d) of the 2002 Act to read: 

(d) ELIGIBILITY.—An adversely affected 

worker may not be determined to be 

ineligible or disqualified for unemployment 

insurance or program benefits under this 

subchapter— 

(1) Because the worker— 

(A) Is enrolled in training approved under 

subsection (a); 

(B) Left work— 

(i) That was not suitable employment in 

order to enroll in such training; or 

(ii) That the worker engaged in on a 

temporary basis during a break in such 

training or a delay in the commencement of 

such training; or 

(C) Left on-the-job training not later than 

30 days after commencing such training 

because the training did not meet the 

requirements of subsection (c)(1)(B); or 

(2) Because of the application to any such 

week in training of the provisions of State 

law or Federal unemployment insurance law 

relating to availability for work, active search 

for work, or refusal to accept work. 

Administration: The 2009 

amendments codify the current 

regulations at 20 CFR 617.18 regarding 

disqualification of trainees from UI or 

TRA. In addition, the 2009 

Amendments add two new 

circumstances under which a CSA may 

not deny UC—because the worker left 

work that the worker engaged in on a 

temporary basis during a break in 

training or a delay in the 

commencement of that training, and 

that the worker left OJT not later than 

30 days after commencing such training 

because the training did not meet the 

requirements of Section 236(c)(1)(B). 

That section provides for the approval 

of OJT where the CSA determines that 

it can reasonably be expected to lead to 

suitable employment with the employer 

offering the OJT; is compatible with the 

skills of the worker; includes a 

curriculum through which the worker 

will gain the knowledge or skills to 

become proficient in the job for which 

the worker is being trained; and can be 

measured by benchmarks that indicate 

that the worker is gaining that 

knowledge or skills. 

E. Job Search Allowances 

Statutory Change: Section 1833 of the 

2009 Amendments amends Section 237 

of the 2002 Act to read: 

(a) JOB SEARCH ALLOWANCE 

AUTHORIZED.— 

(1) IN GENERAL.—An adversely affected 

worker covered by a certification issued 

under subchapter A of this chapter may file 

an application with the Secretary for 

payment of a job search allowance. 

(2) APPROVAL OF APPLICATIONS.—The 

Secretary may grant an allowance pursuant to 

an application filed under paragraph (I) when 

all of the following apply: 

(A) ASSIST ADVERSELY AFFECTED 

WORKER—The allowance is paid to assist an 

adversely affected worker who has been 

totally separated in securing a job within the 

United States. 

(B) LOCAL EMPLOYMENT NOT 

AVALABLE.—The Secretary determines that 

the worker cannot reasonably be expected to 

secure suitable employment in the 

commuting area in which the worker resides. 

(C) APPLICATION.—The worker has filed 

an application for the allowance with the 

Secretary before— 

(i) The later of— 

(I) The 365th day after the date of the 

certification under which the worker is 

certified as eligible; or 


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(II) The 365th day after the date of the 

worker’s last total separation; or 

(ii) The date that is the 182nd day after the 

date on which the worker concluded 

training. 

(b) AMOUNT OF ALLOWANCE.— 

(1) IN GENERAL.—An allowance granted 

under subsection (a) shall provide 

reimbursement to the worker of all cost of 

necessary job search expenses as prescribed 

by the Secretary in regulations. 

(2) MAXIMUM ALLLOWANCE.— 

Reimbursement under this subsection may 

not exceed $1,500 for any worker. 

(3) ALLOWANCE FOR SUBSISTENCE 

AND TRANSPORTATION.—Reimbursement 

under this subsection may not be made for 

subsistence and transportation expenses at 

levels exceeding those allowable under 

section 236(b)(1) and (2). 

(c) EXCEPTION.—Notwithstanding 

subsection (b), the Secretary shall reimburse 

any adversely affected worker for necessary 

expenses incurred by the worker in 

participating in a job search program 

approved by the Secretary. 

Administration: The qualifying 

conditions for job search allowances are 

largely unchanged. 

The 2009 Amendments repeal the 

exception for workers who received a 

waiver of the training requirement from 

the requirement to file a job search 

allowance application within 182 days 

after the worker completes training. 

This exception appears to have been 

meaningless, since it eliminates the 

deadline for workers who enter training 

after the expiration or termination of a 

waiver, but requires workers who enter 

training without ever having had a 

waiver to file an application within 182 

days after completing training. 

Accordingly, 20 CFR 617.31(c)(2) 

interpreted the 182-day application 

requirement as applying regardless of 

whether the worker received a training 

waiver—and Congress apparently 

concurred with the Department’s 

interpretation that the exception was 

meaningless by repealing it. 

The 2009 Act also raises the 

reimbursement amount for allowable job 

search expenses from 90 percent to 100 

percent of those expenses, and increases 

the maximum amount payable to the 

worker from $1,250 to $1,500. 

States must continue to administer job 

search allowances in accordance with 

20 CFR part 617, subpart D, except that 

’’90 percent’’ in section 617.34(a) will be 

read as ‘‘100 percent,’’ and ‘‘$800’’ (from 

a prior amendment to the Trade Act) in 

section 617.34(b) will be read as 

‘‘$1,500.’’ 

F. Relocation Allowances 

Statutory Change: Section 1833 of the 

2009 Amendments amends Section 238 

of the 2002 Act to read: 

(a) RELOCATION ALLOWANCE 

AUTHORIZED.— 

(1) IN GENERAL.—Any adversely affected 

worker covered by a certification issued 

under subchapter A of this chapter may 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. 

(2) CONDTIONS FOR GRANTING 

ALLOWANCE.—A relocation allowance may 

be granted if all of the following terms and 

conditions are met: 

(A) ASSIST AN ADVERSELY AFFECTED 

WORKER.—The relocation allowance will 

assist an adversely affected worker in 

relocating within the United States. 

(B) LOCAL EMPLOYMENT NOT 

AVAILABLE.—The Secretary determines that 

the worker cannot reasonably be expected to 

secure suitable employment in the 

commuting area in which the worker resides. 

(C) TOTAL SEPARATION.—The worker is 

totally separated from employment at the 

time relocation commences. 

(D) SUITABLE EMPLOYMENT 

OBTAINED.—The worker—- 

(i) Has obtained suitable employment 

affording a reasonable expectation of longterm duration in the area in which the 

worker wishes to relocate; or 

(ii) Has obtained a bona fide offer of such 

employment. 

(E) APPLICATION.—The worker filed an 

application with the Secretary before 

(i) The later of— 

(I) The 425th day after the date of the 

certification under subchapter A of this 

chapter; or 

(II) The 425th day after the date of the 

worker’s last total separation; or 

(ii) The date that is the 182d day after the 

date on which the worker concluded 

training. 

(b) AMOUNT OF ALLOWANCE— The 

relocation allowance granted to a worker 

under subsection (a) includes— 

(1) All 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 $1,500. 

(c) LIMITATIONS.—A relocation 

allowance may not be granted to a worker 

unless— 

(1) The relocation occurs within 182 days 

after the filing of the application for 

relocation assistance; or 

(2) The relocation occurs within 182 days 

after the conclusion of training, if the worker 

entered a training program approved by the 

Secretary under section 236(b)(1) and (2). 

Administration: The qualifying 

requirements for relocation allowances 

are largely unchanged. 

The 2009 Amendments repeals the 

exception for workers who received a 

waiver of the training requirement from 

the requirement to file a relocation 

allowance application within 182 days 

after the worker completes training. 

This exception appears to be 

meaningless, since it eliminates the 

deadline for workers who enter training 

after the expiration or termination of a 

waiver, but requires workers who enter 

training without ever having had a 

waiver to file an application within 182 

days after completing training. 

Accordingly, 20 CFR 617.31(c)(2) 

interpreted the 182-application 

requirement as applying regardless of 

whether the worker received a training 

waiver—and Congress apparently 

concurred with the Department’s 

interpretation that the exception was 

meaningless by repealing it. 

The 2009 Act also raises the 

reimbursement amount for allowable 

relocation expenses from 90 percent to 

100 percent of those expenses, and 

increases the maximum amount of the 

lump sum payment to the worker from 

$1,250 to $1,500. 

States must continue to administer 

relocation allowances in accordance 

with 20 CFR part 617, subpart D, except 

that ‘‘90 percent’’ in section 617.34(a) 

will be read as ‘‘100 percent,’’ and 

‘‘$800’’ (from a prior amendment to the 

Trade Act) in section 617.34(b) will be 

read as ‘‘$1,500.’’ 

G. Employment and Case Management 

Services 

G.1 Provision of Services 

Statutory Change: Section 1826 of the 

2009 Amendments amends Section 235 

of the 2002 Act to read: 

SEC. 235. EMPLOYMENT AND CASE 

MANAGEMENT SERVICES. 

The Secretary shall make available, 

directly or through agreements with States 

under section 239, to adversely affected 

workers and adversely affected incumbent 

workers covered by a certification under 

subchapter A of this chapter the following 

employment and case management services: 

(1) Comprehensive and specialized 

assessment of skill levels and service needs, 

including through— 

(A) Diagnostic testing and use of other 

assessment tools; and 

(B) In-depth interviewing and evaluation to 

identify employment barriers and 

appropriate employment goals. 

(2) Development of an individual 

employment plan to identify employment 

goals and objectives, and appropriate training 

to achieve those goals and objectives. 

(3) Information on training available in 

local and regional areas, information on 

individual counseling to determine which 

training is suitable training, and information 

on how to apply for such training. 

(4) Information on how to apply for 

financial aid, including referring workers to 

educational opportunity centers described in 

section 402F of the Higher Education Act of 

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and notifying workers that the workers may 

request financial aid administrators at 

institutions of higher education (as defined 

in section 102 of such Act (20 U.S.C. 1002)) 

to use the administrators’ discretion under 

section 479A of such Act (20 U.S.C. 1087tt) 

to use current year income data, rather than 

preceding year income data, for determining 

the amount of need of the workers for Federal 

financial assistance under title IV of such Act 

(20 U.S.C. 1070 et seq.). 

(5) Short-term prevocational services, 

including development of learning skills, 

communications skills, interviewing skills, 

punctuality, personal maintenance skills, and 

professional conduct to prepare individuals 

for employment or training. 

(6) Individual career counseling, including 

job search and placement counseling, during 

the period in which the individual is 

receiving a trade adjustment allowance or 

training under this chapter, and after 

receiving such training for purposes of job 

placement. 

(7) Provision of employment statistics 

information, including the provision of 

accurate information relating to local, 

regional, and national labor market areas, 

including— 

(A) Job vacancy listings in such labor 

market areas; 

(B) Information on jobs skills necessary to 

obtain jobs identified in job vacancy listings 

described in subparagraph (A); 

(C) Information relating to local 

occupations that are in demand and earnings 

potential of such occupations; and 

(D) Skills requirements for local 

occupations described in subparagraph (C). 

(8) Information relating to the availability 

of supportive services, including services 

relating to child care, transportation, 

dependent care, housing assistance, and 

need-related payments that are necessary to 

enable an individual to participate in 

training. 

Administration: The 2002 Act 

required CSAs to ‘‘make every 

reasonable effort’’ to provide adversely 

affected workers the listed services 

through other programs. The 2009 Act 

now requires that these services be 

offered to all adversely affected workers 

and adversely affected incumbent 

workers. The required services may be 

provided by staff funded by the new 

case management funds authorized 

under the Act (discussed below), or by 

staff funded under partner programs. 

Co-enrollment or multiple-enrollment 

allows trade-affected workers to receive 

supportive services that may assist in a 

quicker transition to work. It is vitally 

important that States develop a goal, or 

informal deadline, for administering 

assessment of workers in order to 

determine training and reemployment 

needs. This will provide data for State 

officials to make a more accurate 

employability determination and issue 

TAA waivers of training. Likewise, early 

assessment will give case management 

staff the information necessary to 

advise, counsel, and refer participants to 

the appropriate partner/training 

provider. Many States have provided 

case management activities and related 

services in the past through coenrollment in other Federal programs 

(usually WIA and Wagner-Peyser 

programs). The Department expects 

CSAs to continue this practice. CSAs 

that have not fully used co-enrollment 

now have an opportunity to use more 

integrated service strategies. Expertise 

in providing these services already 

exists within the WIA and WagnerPeyser programs. 

A CSA must offer workers each of the 

services set forth in Section 235. It must 

demonstrate that it has provided or 

offered these services either in a paperbased case file or in an electronic case 

management system, which must be 

available for review. Additionally, the 

case management file of each 

participant must demonstrate that the 

CSA notified each worker of his/her 

enrollment in training deadlines. 

The purpose of these employment and 

case management services is to provide 

workers the necessary information and 

support for them to achieve sustainable 

reemployment. Therefore, these services 

must be made available to workers over 

the course of their participation in the 

TAA program, in an integrated manner 

that suits their individual needs at a 

particular time. For example, skill 

assessments must be geared towards 

evaluating whether the worker meets 

the TAA training criteria or matches up 

to specific career opportunities in the 

community. The individual 

employment plan must use and be 

guided by the results of the skill 

assessments. The employment plan 

should, in turn, lead to support for 

finding suitable employment and/or 

development of a training plan that 

addresses any skill gaps made evident 

by the assessments, including remedial 

or prerequisite training where 

appropriate. Career counseling and 

labor market information must also 

inform the development of the 

employment and training plans. 

Information on financial aid and 

supportive services must be available as 

they are needed by the individual. 

Career counseling and other 

informational resources must also be 

available after an individual completes 

training, through his/her reemployment 

and exit from the TAA program. 

CSAs should minimize the extent to 

which they establish new or stand alone 

employment and case management 

structures for TAA program participants 

where these services are available 

within the workforce development 

system. Rather, CSAs should fully 

integrate TAA participants and 

resources into the One-Stop Career 

Center system, thereby maximizing and 

enhancing existing employment and 

case management structures. As stated 

in Section II.B of the Governor-Secretary 

Agreement, ‘‘The State agrees that the 

TAA program is a required partner in 

the comprehensive One-Stop system 

established under the Workforce 

Investment Act of 1998 (WIA) (29 U.S.C. 

2801 et seq.) (see WIA Section 

121(b)(1)(B)(viii), 29 U.S.C. 

2841(b)(1)(B)(viii)). The State will 

ensure integration of the TAA program 

into its One-Stop system and will 

comply with all applicable laws, 

regulations, and policy guidance issued 

under the WIA. The State will use OneStop Career Centers as the main point of 

participant intake and delivery of 

benefits and services.’’ 

Early intervention services that 

include orientation; initial assessment 

of skill levels, aptitudes, and abilities; 

provision of labor market information; 

job search assistance; and financial 

management workshops continue to be 

a priority for workers in the TAA 

program. We encourage TAA staff to 

work with WIA staff to align resources 

and develop clear plans for 

coordination. 

G.2 Funding 

Statutory Change: Section 1826 of the 

2009 Amendments adds Section 235A 

to the 2002 Act: 

SEC. 235A. FUNDING FOR 

ADMINISTRATIVE EXPENSES AND 

EMPLOYMENT AND CASE MANAGEMENT 

SERVICES. 

(A) FUNDING FOR ADMINISTRATIVE 

EXPENSES AND EMPLOYMENT AND CASE 

MANAGEMENT SERVICES.— 

(1) IN GENERAL.—In addition to any 

funds made available to a State to carry out 

section 236 for a fiscal year, the State shall 

receive for the fiscal year a payment in an 

amount that is equal to 15 percent of the 

amount of such funds. 

(2) USE OF FUNDS.—A State that receives 

a payment under paragraph (1) shall— 

(A) Use not more than 2⁄3 of such payment 

for the administration of the trade adjustment 

assistance for workers program under this 

chapter, including for— 

(i) Processing waivers of training 

requirements under section 231; 

(ii) Collecting, validating, and reporting 

data required under this chapter; and 

(iii) Providing reemployment trade 

adjustment assistance under section 246; and 

(B) Use not less than 1⁄3 of such payment 

for employment and case management 

services under section 235. 

(b) ADDITIONAL FUNDING FOR 

EMPLOYMENT AND CASE MANAGEMENT 

SERVICES.— 

(1) IN GENERAL.—In addition to any 

funds made available to a State to carry out 

section 236 and the payment under 


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subsection (a)(1) for a fiscal year, the 

Secretary shall provide to the State for the 

fiscal year a payment in the amount of 

$350,000. 

(2) USE OF FUNDS.—A State that receives 

a payment under paragraph (1) shall use such 

payment for the purpose of providing 

employment and case management services 

under section 235. 

(3) VOLUNTARY RETURN OF FUNDS.— 

A State that receives a payment under 

paragraph (1) may decline or otherwise 

return such payment to the Secretary. 

Administration: The 2009 Act 

provides two separate TAA program 

funding sources for case management 

services, one under Section 235A(a) and 

the second under Section 235A(b). 

Section 235A(a) provides funding for 

‘‘administrative expenses’’ and ‘‘case 

management services.’’ Section 

235A(a)(2)(A) requires that a CSA will 

‘‘use not more than 2⁄3 of’’ these funds 

‘‘for the administration of the trade 

adjustment assistance for workers 

program,’’ and Section 235A(a)(2)(B) 

requires that it will ‘‘use not less than 

1⁄3’’ of these funds ‘‘for employment and 

case management services under section 

235.’’ 

In addition to staff costs for career 

counselors, the ‘‘employment and case 

management services’’ funds may be 

used for: Assessment tests; skills 

transferability analysis; peer counselors; 

development and provision of labor 

market information; maintenance and 

enhancement of electronic case 

management systems to allow for 

improved case management services; 

information on available training, 

including provider performance and 

cost information; and, any other staff 

costs related to case management. This 

list is not intended to be all inclusive. 

With respect to the employment and 

case management funds, CSAs do not 

need to maintain the 2⁄3 to 1⁄3 ratio on 

a regular basis. Instead, a determination 

of whether the CSA has met this ratio 

requirement will be made during the 

grant close out process upon expiration 

of the funds. At that time, expenditures 

on administration in excess of 2⁄3 of the 

allotment for that fiscal year (meaning 

that expenditures on employment and 

case management services were less 

than 1⁄3 of the allotment) will be 

considered disallowed costs. 

The second source of funding for case 

management services, under Section 

235A(b), is a payment ‘‘for the fiscal 

year * * * in the amount of $350,000.’’ 

The 2009 Act provides that States may 

decline or return these funds to the 

Secretary. If a State chooses not to 

accept the $350,000 in employment and 

case management services funds 

authorized for allotment to States under 

Section 235A(b) for the next fiscal year, 

the CSA should notify the Department, 

through their appropriate ETA Regional 

Office, by August 15 of the prior fiscal 

year in order to ensure that an allocation 

is not made. If a State receives these 

funds through the allotment process, but 

decides to return them to DOL, States 

must do so as soon as possible. 

The employment and case 

management services funding provided 

for in this section should be in addition 

to, and not offset, any funds that the 

CSA would otherwise receive under 

WIA or any other program. 

G.3 Coordination With WIA 

Statutory Change: Section 1852 of the 

2009 Amendments amends Section 239 

of the 2002 Act by redesignating 

subsection (f) as subsection (g) and 

adding to new subsection (g) paragraphs 

(4) and (5), to read: 

Each cooperating State agency shall, in 

carrying out subsection (a)(2)— 

* * * * * 

(4) Perform outreach to, intake of, and 

orientation for adversely affected workers 

and adversely affected incumbent workers 

covered by a certification under subchapter 

A with respect to assistance and benefits 

available under this chapter, and 

(5) Make employment and case 

management services described in section 

235 available to adversely affected workers 

and adversely affected incumbent workers 

covered by a certification under subchapter 

A and, if funds provided to carry out this 

chapter are insufficient to make such services 

available, make arrangements to make such 

services available through other Federal 

programs. 

Administration: As required in the 

agreements between the Secretary of 

Labor and the States under Section 239 

of the Act, the CSAs must administer 

outreach, intake, and orientation for 

adversely affected workers and make 

employment and case management 

services as newly described in Section 

235 available to workers. If the TAA 

program funding sources for provision 

of employment and case management 

services to workers in the TAA program 

are insufficient to meet the requirement 

that these services be offered to all 

adversely affected workers and 

adversely affected incumbent workers, 

the CSA must make arrangements to 

assure that funding under the WIA or 

another program is available to provide 

those services. Multiple enrollment 

resources may include Wagner-Peyser 

activities, faith-based and communitybased programs, vocational 

rehabilitation services, and veterans’ 

programs. 

H. Reemployment Trade Adjustment 

Assistance (RTAA) 

H.1. Background 

Statutory Change: Section 1841 of the 

2009 Amendments amends Section 

246(a)(1) of the 2002 Act to read: 

(1) ESTABLISHMENT.—The Secretary 

shall establish a reemployment trade 

adjustment assistance program that provides 

the benefits described in paragraph (2). 

Administration: The 2009 Act 

establishes RTAA as a wage supplement 

option available to older workers under 

the TAA program. RTAA replaces 

ATAA, which provided wage 

supplements as an option for 

reemployed older workers as a 

demonstration project under the 2002 

Act. Rather than a demonstration 

program, RTAA is permanent, and has 

the same expiration date as the rest of 

the TAA program. 

ATAA is extended and remains 

available to workers certified for ATAA 

under petitions filed prior to May 18, 

2009. 

RTAA builds on the basic structure of 

ATAA, with some important 

differences: 

• The 26-week deadline for 

reemployment, running from the date of 

separation from the adversely affected 

employment is eliminated. This 26- 

week period frequently began prior to 

certification, not allowing enough time 

for workers to find new jobs after 

learning of their potential eligibility for 

ATAA. 

• A separate certification of group 

eligibility beyond the TAA certification 

is no longer required. All certifications 

include eligibility to apply for RTAA, as 

well as other TAA benefits. 

• Workers opting to participate in the 

wage supplement program no longer 

surrender their eligibility for TAAapproved training. 

• RTAA may be paid to participants 

working part-time, if they are enrolled 

in approved training. 

• Workers may collect RTAA after a 

period of TRA. These changes to the 

program should make the program more 

accessible and attractive to workers by 

removing barriers that existed under 

ATAA. 

• RTAA eligibility requires that the 

worker ‘‘is not employed at the firm 

from which the worker was separated.’’ 

This is a more restrictive requirement 

than ATAA imposes. That program 

required only that the worker ‘‘does not 

return to the employment from which 

the worker was separated,’’ which the 

Department interpreted as permitting 

the worker to return to the separating 

firm in a different job. 


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• The maximum benefit that the 

worker may receive over the course of 

the eligibility period is increased from 

$10,000 to $12,000. 

• The limit on wages in eligible 

reemployment is increased from 

$50,000 to $55,000. 

• RTAA has a different eligibility 

period than ATAA. 

Significantly, workers receiving 

RTAA may, like ATAA participants, be 

eligible for the HCTC. 

H.2. Group Eligibility 

Statutory Change: Section 1841 of the 

2009 Amendments amends Section 

246(a)(3)(A) of the 2002 Act to read: 

(A) IN GENERAL.—A group of workers 

certified under subchapter A as eligible for 

adjustment assistance under subchapter A is 

eligible for benefits described in paragraph 

(2) under the program established under 

paragraph (1). 

Administration: The new RTAA 

program eliminates the separate group 

eligibility requirements under the 

ATAA program and instead provides 

that workers in a group certified as 

eligible to apply for TAA are also 

eligible to apply for RTAA. 

H.3. Individual Eligibility 

Statutory Change: Section 1841 of the 

2009 Amendments amends Section 

246(a)(3)(B) of the 2002 Act to read: 

(B) INDIVIDUAL ELIGIBILITY.—A worker 

in a group of workers described in 

subparagraph (A) may elect to receive 

benefits described in paragraph (2) under the 

program established under paragraph (1) if 

the worker— 

(i) Is at least 50 years of age; 

(ii) Earns not more than $55,000 each year 

in wages from reemployment; 

(iii)(I) Is employed on a full-time basis as 

defined by the law of the State in which the 

worker is employed and is not enrolled in a 

training program approved under section 

236; or 

(II) Is employed at least 20 hours per week 

and is enrolled in a training program 

approved under section 236; and 

(iv) Is not employed at the firm from which 

the worker was separated. 

Administration: The RTAA program 

has several differences in individual 

eligibility from the ATAA program. It 

eliminates the requirement that the 

worker obtain full-time employment 

within 26 weeks of separation from 

adversely affected employment, 

increases the maximum an individual 

may earn in reemployment from 

$50,000 to $55,000, and is not limited 

to workers employed full-time, but 

allows workers employed at least 20 

hours per week, and enrolled in 

approved training, to qualify. To be 

eligible for RTAA, an individual must 

meet the following conditions at the 

time of reemployment: 

1. Be at least age 50 at time of 

reemployment. The individual’s age can 

be verified with a driver’s license or 

other appropriate documentation. 

2. Must not be expected to earn more 

than $55,000 annually in gross wages, 

excluding overtime pay, from the 

reemployment. If a paycheck has not 

been issued at the time of application, 

the employer must submit a supporting 

statement documenting the worker’s 

annual wages. 

3. Reemployment: 

a. Be reemployed full-time as defined 

by the State law where the worker is 

employed and not enrolled in a TAAapproved training program. If there is no 

State law addressing the definition of 

full-time employment, the State must 

issue a definition of full-time 

employment for RTAA purposes. The 

CSA will verify reemployment in the 

same manner as it uses for ATAA 

eligibility; or 

b. Be reemployed less than full-time, 

but at least 20 hours a week, and be 

enrolled in a TAA-approved training 

program. Similar to the requirement that 

TRA benefits may only be paid when 

enrolled in a full time training program, 

eligibility for RTAA benefits based on 

part-time employment and participation 

in training requires enrollment in a full 

time training program as well. This 

requirement helps ensure that workers 

will not exhaust their limited RTAA 

benefit before returning to full-time 

employment, which is the true goal of 

the TAA program. The verification will 

be conducted in the same manner as is 

used for verifying employment for 

ATAA eligibility and for verifying 

participation in training. 

4. The worker cannot return to 

employment at the ‘‘firm’’ from which 

the worker was separated. However, the 

2009 Act defines ‘‘firm’’ as either the 

entire firm or the appropriate 

subdivision. Accordingly, this 

requirement means that, if the 

certification is issued for a worker group 

in an appropriate subdivision of a firm, 

the worker may not return to 

employment with that subdivision, but 

may return to work at another 

subdivision of the firm. If, however, the 

certification is issued for workers in the 

entire firm, the worker may not return 

to employment in any subdivision of 

that firm. 

As with ATAA, the CSA will issue a 

written determination on an RTAA 

application within 5 working days of its 

receipt. If approved, the CSA will also 

notify the appropriate State payment 

unit and other appropriate component 

offices within the State. The RTAA 

applicant has the right to appeal a State 

determination which denies RTAA 

benefits in the same manner as provided 

for in State UI law for all TAA 

determinations. 

Where a worker seeks to establish 

RTAA eligibility based upon more than 

one job, the employment hours will be 

combined in order to determine whether 

the worker has the number of hours 

needed to qualify for RTAA. If the 

worker obtains additional job(s), the 

wages from this employment will be 

included in the calculation to determine 

whether the worker is expected to reach 

the $55,000 annual limit for 

reemployment wages. 

Qualifying employment that was 

commenced prior to separation from 

adversely affected employment may be 

considered RTAA qualifying 

employment. 

H.4. Eligibility Period 

Statutory Change: Section 1841 of the 

2009 Act amends Section 246(a)(4) of 

the 2002 Act to read: 

(4) ELIGIBILITY PERIOD FOR 

PAYMENTS.— 

(A) WORKER WHO HAS NOT RECEIVED 

TRADE READJUSTMENT ALLOWANCE.—In 

the case of a worker described in paragraph 

(3)(B) who has not received a trade 

readjustment allowance under part I of 

subchapter B pursuant to the certification 

described in paragraph (3)(A), the worker 

may receive benefits described in paragraph 

(2) for a period not to exceed 2 years 

beginning on the earlier of— 

(i) The date on which the worker exhausts 

all rights to unemployment insurance based 

on the separation of the worker from the 

adversely affected employment that is the 

basis of the certification; or 

(ii) The date on which the worker obtains 

reemployment described in paragraph (3)(B). 

(B) WORKER WHO HAS RECEIVED 

TRADE READJUSTMENT ALLOWANCE.—In 

the case of a worker described in paragraph 

(3)(B) who has received a trade readjustment 

allowance under part I of subchapter B 

pursuant to the certification described in 

paragraph (3)(A), the worker may receive 

benefits described in paragraph (2) for a 

period of 104 weeks beginning on the date on 

which the worker obtains reemployment 

described in paragraph (3)(B), reduced by the 

total number of weeks for which the worker 

received such trade readjustment allowance. 

Administration: The eligibility 

periods for RTAA are different than 

those under ATAA. The 2009 Act 

provides two separate eligibility 

periods, the first for workers who have 

not received TRA, and the second for 

workers who have received TRA. 

The eligibility period for workers who 

have not received TRA is a two-year 

period beginning the earlier of ‘‘the date 

on which the worker exhausts all rights 

to unemployment insurance based on 


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the separation of the worker from the 

adversely affected employment that is 

the basis of the certification,’’ or 

reemployment. Section 247(12) defines 

‘‘unemployment insurance’’ as ‘‘the 

unemployment compensation payable 

to an individual under any State law or 

Federal unemployment compensation 

law,’’ which includes EUC. 

The statutory phrase ‘‘worker 

exhausts all rights to unemployment 

insurance based on the separation of the 

worker from * * * adversely affected 

employment * * * ’’ requires some 

interpretation. The first point to make is 

that a worker may have more than one 

separation from adversely affected 

employment. Where there is more than 

one such separation, the relevant 

separation is the worker’s last 

separation from adversely affected 

employment that qualifies the worker as 

an adversely affected worker. The 

Department chose the last separation 

because that separation is the one that 

triggers the worker’s application for 

RTAA. Under 20 CFR 617.3(c), a 

separation that qualifies a worker as an 

adversely affected worker is a lack-ofwork separation from adversely affected 

employment. Accordingly, the CSA 

must determine the worker’s last 

separation for lack of work from 

adversely affected employment before 

the RTAA application. This principle 

applies only to the determination of the 

eligibility period, and does not apply to 

the calculation of RTAA payments. 

Further, a separation may trigger a 

benefit year, occur during a benefit year, 

or not result in any entitlement to UI. 

If the worker’s last separation from 

adversely affected employment, which 

qualifies the worker as an adversely 

affected worker, either triggers a benefit 

year or occurs within a benefit year, the 

eligibility period will begin (if earlier 

than the reemployment) when the 

worker exhausts that UI eligibility, 

either by collecting all benefits available 

on the benefit year or by the expiration 

of the benefit year. If the worker has no 

UI entitlement for his/her last 

separation from adversely affected 

employment that qualifies him/her as an 

adversely affected worker, then the twoyear period begins on the date on which 

the worker obtains reemployment. 

The eligibility period for a worker 

who has not received TRA is the two 

year period (generally 104 weeks) 

beginning with the date of 

reemployment, reduced by the number 

of weeks the worker received TRA. For 

example, if a worker received 52 weeks 

of TRA, the eligibility period would be 

reduced to 52 weeks beginning on the 

date of reemployment. 

The individual’s application for 

RTAA must be filed within the 

applicable eligibility period as 

described above. As with ATAA, 

retroactive payment may be made where 

appropriate. 

H.5. Total Amount of Payments 

Statutory Change: Section 1841 of the 

2009 Act amends Section 246(a)(5) of 

the 2002 Act to read: 

(5) TOTAL AMOUNT OF PAYMENTS.— 

(A) IN GENERAL.—The payments 

described in paragraph (2)(A) made to a 

worker may not exceed— 

(i) $12,000 per worker during the eligibility 

period under paragraph (4)(A); or 

(ii) The amount described in subparagraph 

(B) per worker during the eligibility period 

under paragraph (4)(B). 

(B) AMOUNT DESCRIBED.—The amount 

described in this subparagraph is the amount 

equal to the product of— 

(i) $12,000, and 

(ii) The ratio of— 

(I) The total number of weeks in the 

eligibility period under paragraph (4)(B) with 

respect to the worker, to 

(II) 104 weeks. 

Administration: The total amount of 

payments that may be made to workers 

under RTAA is different than under 

ATAA. The 2009 Act provides two 

separate calculations of the maximum 

amount of payments that may be made 

to a worker, the first for workers who 

have not received TRA, and the second 

for workers who have received TRA. 

Workers who have not received TRA 

may receive a maximum of $12,000 

during the eligibility period described 

in Section J.4 of the Operating 

Instructions. This is an increase of 

$2,000 over the maximum amount of 

ATAA available to an adversely affected 

worker. 

Workers who have received TRA may 

receive an amount equal to the product 

of $12,000 and the ratio of the number 

of weeks in the eligibility period 

described in Section J.4 above and 104. 

For example, the calculation for a 

worker who received 52 weeks of TRA 

and therefore has a 52-week eligibility 

period would be as follows: 

Factors 

x .................. Weeks of TRA. 

y .................. Eligibility Period. 

z .................. $12,000 Maximum RTAA Benefit. 

Ratio 

x/y = .......................... Ratio. 

Formula 

(x/y) * z = .................. RTAA Benefit. 

Example 

(52/104) * $12,000 = $6,000 

H.6. Continuing Eligibility 

The structure and procedures 

established for verification of 

continuing eligibility under the ATAA 

program remain in place for the RTAA 

program, except where noted otherwise. 

Once approved for the RTAA program, 

individuals who continue to meet the 

eligibility criteria are paid RTAA 

benefits until they reach the end of the 

eligibility period or the maximum total 

amount of payments whichever occurs 

first. 

Nothing in the statute precludes an 

individual from working for different 

employers within this eligibility period. 

Further, employment is not required to 

be consecutive. However, as with 

ATAA, RTAA benefits are not payable 

during periods of unemployment, but 

payment is allowable when the worker 

is on employer allowed release time, 

such as sick leave. Changes in 

employment that do not encompass a 

period of unemployment will be 

handled during the State’s ongoing 

review of each worker’s RTAA status, as 

described below. In the event of a 

period of unemployment, workers will 

need to complete a new Individual 

Application for RTAA upon 

reemployment. The worker would be 

eligible for the remaining RTAA benefits 

to which he/she is entitled. The 

eligibility period continues to run from 

the date of UI exhaustion or 

reemployment. 

Workers applying for RTAA will need 

to visit a One-Stop Career Center in 

person to provide information and 

establish initial individual eligibility for 

RTAA. The CSA will need to assess 

each RTAA claimant’s continuing 

eligibility for RTAA. Whether RTAA 

entitlement is received on the basis of 

part-time (at least 20 hours) or full-time 

employment, the CSA must verify the 

worker’s employment and wage status 

on at least a monthly basis. If the worker 

is employed part-time (at least 20 hours 

per week) and receiving RTAA while in 

TAA-approved training, the CSA must, 

on a monthly basis, verify participation 

in the training. 

RTAA payments stop in the event of 

any one of the following: 

• The worker’s annualized wages 

from reemployment are projected to 

exceed $55,000 in a year. 


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• The worker no longer meets the 

reemployment requirement through 

either full-time work or a combination 

of TAA-approved training and at least 

20 hours of work. (But, see the caveat 

in the second paragraph below.) 

• The worker has received the 

maximum amount of RTAA. 

• The worker has reached the end of 

the RTAA eligibility period. 

It is the CSA’s responsibility, when 

calculating the RTAA payment, to 

annualize the recipient’s wages on a 

monthly basis to assure that the 

recipient’s annual wages do not exceed 

$55,000. Annual wage calculations 

include all jobs in which the worker is 

employed. 

As explained above, a worker may 

qualify for RTAA where the worker is 

working part-time, provided the worker 

is enrolled in training. A worker will be 

excused from the training requirement 

for any week for which s/he has 

‘‘justifiable cause,’’ as defined at 20 CFR 

617.18(b)(2), for failing to begin or 

ceasing participation in training. If the 

worker has justifiable cause for failing to 

participate in training for a week, but is 

working at least 20 hours per week, 

RTAA is payable for that week if the 

worker is otherwise eligible. If the 

worker fails to participate in training for 

a week without justifiable cause, the 

worker is ineligible for RTAA for that 

week. 

H.7. RTAA Payments 

Statutory Changes: 

Section 1841 of the 2009 

Amendments amends Section 246(a)(2) 

of the Act to read: 

(2) BENEFITS. 

(A) PAYMENTS—A State shall use the 

funds provided to the State under section 241 

to pay, for the eligibility period under 

subparagraph (A) or (B) of paragraph (4) (as 

the case may be), to a worker described in 

paragraph (3)(B), 50 percent of the difference 

between— 

(i) The wages received by the worker at the 

time of separation; and 

(ii) The wages received by the worker from 

reemployment. 

It also amends Section 246(a)(6) of the 

Act to read: 

(6) CALCULATION OF AMOUNT OF 

PAYMENTS FOR CERTAIN WORKERS.— 

(A) IN GENERAL.—In the case of a worker 

described in paragraph (3)(B)(iii)(II) [a worker 

employed at least 20 hours per week an 

enrolled in training], paragraph (2)(A) [the 

RTAA benefit amount calculation] shall be 

applied by substituting the percentage 

described in subparagraph (B) for ‘50 

percent’. 

(B) PERCENTAGE DESCRIBED.—The 

percentage described in this subparagraph is 

the percentage— 

(i) Equal to 1⁄2 of the ratio of— 

(I) The number of weekly hours of 

employment of the worker referred to in 

paragraph (3)(B)(iii)(II), to 

(II) The number of weekly hours of 

employment of the worker at the time of 

separation, but 

(ii) In no case more than 50 percent. 

Administration: The 2009 Act slightly 

rewords the benefit calculation found in 

Section 246(a)(2)(A), but does not 

change the basic structure of providing 

50 percent of the difference between the 

wages the worker received from the 

adversely affected employer at the time 

of separation and the wages the worker 

receives in new employment for 

workers who are employed on a fulltime basis. 

For workers who meet the 

reemployment requirement described in 

Section H.3. of the Operating 

Instructions through a combination of 

TAA-approved training and at least 20 

hours of work, the RTAA benefit 

calculation is based on a percentage of 

the difference between the wages the 

worker received from the adversely 

affected employer at the time of 

separation and the wages the worker 

receives in new employment. The 

percentage is based on the number of 

hours worked in new employment as 

compared to the adversely affected 

employment. This calculation is 

illustrated below and in sections H.7.1 

and H.7.2. 

As with ATAA, in order to establish 

the RTAA payment, wages at separation 

are defined as the annualized hourly 

rate at the time of the most recent 

separation. Wages at reemployment are 

defined as the annualized hourly rate at 

the time of reemployment. Annualized 

wages at separation are defined as the 

annualized hourly rate at the time of the 

most recent qualifying separation. In the 

case of a worker who had a partial 

separation, as defined in 20 CFR 

617.3(cc), that resulted in a reduction of 

the worker’s wage and/or hours, the 

calculation should be based on the 

wages and/or hours immediately before 

the partial separation went into effect. 

The annualized wages are computed by 

multiplying the worker’s hourly rate 

received during the last full week of his/ 

her employment by the number of hours 

the individual worked during the last 

full week of employment and 

multiplying that number by 52. 

Overtime wages and hours are excluded 

from the calculation. Annualized wages 

at reemployment are defined similarly 

to annualized wages at separation, 

except that the hourly rate and hours 

worked must reflect those of the first 

full week of reemployment. 

RTAA may be paid on a weekly, 

biweekly, or other payment frequency 

not to exceed monthly, as established by 

the CSA, ensuring that the total 

payment does not exceed the $12,000 

maximum or a period of two-years. 

For example, the calculation of a 

monthly allotment would be derived in 

one of the two following methods as 

appropriate: 

WAGE CALCULATION METHODOLOGY

FACTORS

o .............. Annualized Old Wages (also 

Annualized Separation 

Wages). 

n .............. Annualized New Wages (also 

Annualized Reemployment 

Wages). 

h .............. Variable percentage based on 

reduced Hours Per Week h = 

(current hours per week/old 

hours per week). 

Annualized Old Wages (o): 

Annualized wages are computed by 

multiplying the worker’s hourly rate 

during the last full week of his/her 

employment by the number of hours the 

worker worked during the last full week 

of employment and multiplying that 

number by 52: 

(hourly rate * hours worked) * 52 

Annualized New Wages (n): 

Annualized wages at reemployment are 

defined similarly to annualized wages at 

separation, except that the hourly rate 

and hours worked must reflect those of 

the first full week of reemployment: 

(hourly rate * hours worked) * 52 

Variable Percentage (h): This variable 

equals the quotient of the worker’s 

current hours per week divided by the 

worker’s hours per week at the time of 

separation. 

H.7.1 Wage Calculation Formulas 

Calculation for Full-Time 

Employment: Annualized Separation 

Wages minus Annualized 

Reemployment Wages multiplied by .50 

equals 50 percent of the difference 

between the two periods of wages. Fifty 

percent of the difference between the 

two periods of wages divided by 12 

equals the monthly RTAA wage 

subsidy. 

Monthly Benefit o n = ( ) .50 − ∗

12

Calculation for Part-time 

Employment: Annualized Separation 

Wages minus Annualized 

Reemployment Wages multiplied by h 

(the variable percentage based on 

reduced hours for part-time Annualized 

Reemployment Wages). Fifty percent of 

the difference between the two periods 

of wages divided by 12 equals the 

monthly RTAA wage subsidy. 


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Monthly Benefit on h = (( ) . ) − ∗∗ 50

12

To determine the weekly annualized 

benefit amount change 12 to 52, or to 

determine the bi-weekly annualized 

benefit amount change 12 to 26. 

H.7.2 Wage Calculation Examples 

RTAA participant was working 40 

hour per week with annualized 

separation wage of $50,000 per year. 

The participant obtained full-time 

employment making $20,000 per year. 

o $50K n K = = $20

Option 1—Full-Time Employment 

Monthly Benefit $50K K = Per Month − ∗ = ( $ ). $ 20 50

12

1250

Option 2—Part-Time Employment 

RTAA participant was working 40 

hour per week with annualized 

separation wage of $50,000 per year. 

The participant obtained part-time 

employment of 20 hours per week 

making $20,000 per year. 

o $50K n K h === $20 20 40 ( )

Monthly Benefit $50K K = Per Month − ∗( ) ∗ = ( $) . $ 20 20 40 50

12

625

If, as a result of the monthly 

verification exercise, the participant’s 

hourly wage and/or hours are 

determined to have changed in such a 

way as to affect the RTAA wage 

supplement, the CSA will repeat the 

above calculation and adjust the RTAA 

payment accordingly. 

H.8. Overpayments 

As with ATAA, the determination of 

‘‘annualized wages’’ is made 

prospectively. An individual meets the 

‘‘earns not more than $55,000 a year in 

wages from reemployment’’ requirement 

in Section 246 for a given month if the 

monthly determination of annualized 

wages is accurate and complete at the 

time it is made. Absent fraud, no 

overpayment determinations will be 

made for that month based on 

projections for the yearly annual wage 

that later changed based on information 

that was not available at the time that 

the monthly determination was made. 

Monthly payments derived from the 

annualized wage projection based on 

complete and accurate information at 

the time are valid payments that the 

individual was entitled to, and are not 

overpayments. 

H.9. Other Program Benefits 

Statutory Changes: 

Section 1841 of the 2009 

Amendments amends Section 

246(a)(2)(B)–(C) of the 2002 Act to read: 

(B) HEALTH INSURANCE.—A worker 

described in paragraph (3)(B) participating in 

the program established under paragraph (1) 

is eligible to receive, for the eligibility period 

under subparagraph (A) or (B) of paragraph 

(4) (as the case may be), a credit for health 

insurance costs under section 35 of the 

Internal Revenue Code of 1986. 

(C) TRAINING AND OTHER SERVICES.— 

A worker described in paragraph (3)(B) 

participating in the program established 

under paragraph (1) is eligible to receive 

training approved under section 236 and 

employment and case management services 

under section 235. 

Section 1841 of the 2009 Amendments also 

amends Section 246(a)(7) of the 2002 Act to 

read: 

(7) LIMITATION ON OTHER BENEFITS.— 

A worker described in paragraph (3)(B) may 

not receive a trade readjustment allowance 

under part I of subchapter B pursuant to the 

certification described in paragraph (3)(A) 

during any week for which the worker 

receives a payment described in paragraph 

(2)(A). 

Administration: An individual 

receiving RTAA may also receive TAA 

training, employment and case 

management services, HCTC, and job 

search and relocation allowances under 

certain conditions. 

As with ATAA, once a worker elects 

RTAA, the worker cannot return to 

TRA. Under the 2009 Act, a means is 

provided for a worker to move from 

TRA to RTAA, by authorizing a method 

of computing an available balance when 

that move occurs, but does not provide 

a means for a worker to move from 

RTAA back to TRA. 

With respect to HCTC, the CSA must 

report RTAA recipients (workers who 

are receiving RTAA) to the Internal 

Revenue Service (IRS) in the manner 

described in UIPL No. 24–03, dated 

April 14, 2003 and UIPL No. 21–09, 

dated April 3, 2009. 

H.10. Documentation of Benefit History 

The Department requires that each 

CSA maintain a manual or automated 

benefit history for each RTAA recipient 

for a period of no less than three years 

for audit purposes. The three years 

begins from the most recent 

determination of eligibility, benefits 

paid or appeal decisions—whichever is 

later. The information required in that 

benefit history is the same as that 

required for ATAA. 

I. State Operations 

I.1. Alien Verification 

Statutory Change: Section 1853 of the 

2009 Amendments amends Section 239 

of the 2002 Act by adding subsection 

(k), which reads: 

(k) VERIFICATION OF ELIGIBILITY FOR 

PROGRAM BENEFITS.— 

(1) IN GENERAL.—An agreement under 

this subchapter shall provide that the State 

shall periodically redetermine that a worker 

receiving benefits under this subchapter who 

is not a citizen or national of the United 

States remains in a satisfactory immigration 

status. Once satisfactory immigration status 

has been initially verified through the 

immigration status verification system 

described in section 1137(d) of the Social 

Security Act (42 U.S.C. 1320b–7(d)) for 

purposes of establishing a worker’s eligibility 

for unemployment compensation, the State 

shall reverify the worker’s immigration status 

if the documentation provided during initial 

verification will expire during the period in 

which that worker is potentially eligible to 

receive benefits under this subchapter. The 

State shall conduct such redetermination in 

a timely manner, utilizing the immigration 

status verification system described in 


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section 1137(d) of the Social Security Act (42 

U.S.C. 1320b–7(d)). 

(2) PROCEDURES.—The Secretary shall 

establish procedures to ensure the uniform 

application by the States of the requirements 

of this subsection. 

Administration: All states are 

required, under section 1137(d) of the 

Social Security Act (42 U.S.C. 1320b– 

7(d)), to initially verify the immigration 

status of self-reporting aliens who apply 

for UI through the Systematic Alien 

Verification for Entitlement (SAVE) 

program maintained by the U.S. 

Customs and Immigration Service 

(USCIS, formerly Immigration and 

Naturalization Service). Under section 

1137(d)(2), an alien is required to 

provide an alien registration document 

with an alien registration number, or 

provide ‘‘such other documents as the 

State determines constitutes reasonable 

evidence indicating a satisfactory 

immigration status.’’ If there is a match 

that verifies the individual’s 

documentation, SAVE returns 

information that the alien is in 

satisfactory immigration status, and 

provides an expiration date, if there is 

one, for that status. 

To meet this requirement, the State 

must have a system for alerting the staff 

responsible for processing applications 

to the expiration of satisfactory 

immigration status during the time the 

individual is potentially eligible for 

benefits. This may be done by 

modifying case management systems for 

TAA recipients to track the immigration 

status of a worker receiving TAA who 

is not a citizen or national of the United 

States. It is important to note that this 

requirement applies to all benefits 

under the TAA program, and not just 

TRA benefits. 

Section 239(k) of the 2009 Act 

requires that States re-verify an 

individual’s immigration status if the 

documentation provided by the 

individual during initial verification 

will expire during the period in which 

that worker is potentially eligible to 

receive Trade benefits. The reverification of satisfactory immigration 

status must be conducted in a timely 

manner, and in the same manner used 

for initial verification. 

To the extent States have in place, 

and use, a system for alerting the staff 

responsible for processing applications 

to the expiration of satisfactory 

immigration status during the time the 

individual is potentially eligible for 

benefits, no further action is required 

unless the alien’s satisfactory 

immigration status expires. 

Additionally, one of the six conditions 

for approval of training is that there be 

‘‘a reasonable expectation of 

employment following completion of 

* * * training.’’ Where a worker is not 

in a satisfactory immigration status, 

there is no such reasonable expectation. 

Therefore, a training program is not 

approvable if the individual is not 

eligible at the time of application for 

work at least one day following 

completion of training. 

I.2. Control Measures 

Statutory Change: Section 1852 of the 

2009 Amendments amends Section 239 

of the 2002 Act to add subsection (i), 

which reads: 

(i) CONTROL MEASURES.— 

(1) IN GENERAL.—The Secretary shall 

require each cooperating State and 

cooperating State agency to implement 

effective control measures and to effectively 

oversee the operation and administration of 

the trade adjustment assistance program 

under this chapter, including by means of 

monitoring the operation of control measures 

to improve the accuracy and timeliness of the 

data being collected and reported. 

(2) DEFINITION.—For purposes of 

paragraph (1), the term ‘control measures’ 

means measures that— 

(A) Are internal to a system used by a State 

to collect data; and 

(B) Are designed to ensure the accuracy 

and verifiability of such data. 

Administration: This new section 

requires CSAs to implement control 

measures to effectively oversee the 

operation and administration of the 

TAA program and to improve the 

timeliness of reported data, as well as 

verifying the accuracy of such data. In 

addition, CSAs must monitor on a 

regular basis the administration of the 

TAA program and its various 

components, including TRA, training 

services, RTAA, job search and 

relocation, and employment and case 

management services. 

To comply with this new provision, 

the CSA must adopt a formal monitoring 

program that reviews a sample of 

worker files to ensure effective and 

efficient operation and administration of 

the program. The monitoring program 

must be designed to identify best 

practices, process deficiencies, and 

training needs. Case files reviewed must 

include files for workers certified under 

both the 2002 amendments and the 2009 

amendments. A minimum quarterly 

random sample of 20 cases should be 

audited and must include at least two 

certifications. The four quarterly 

samples within a calendar year should 

also cover at least four different areas of 

the State administering the program. If 

circumstances preclude a CSA from 

meeting these criteria, the CSA should 

contact the ETA Regional Office to 

design a monitoring program that better 

suits the TAA program in that State, and 

is sufficient to ensure the accuracy and 

verifiability of such data. 

I.3. Data Reporting 

Statutory Change: Section 1852 of the 

2009 Amendments amends Section 239 

of the Act to add subsection (j), which 

reads: 

(j) DATA REPORTING.— 

(1) IN GENERAL.—Any agreement entered 

into under this section shall require the 

cooperating State or cooperating State agency 

to report to the Secretary on a quarterly basis 

comprehensive performance accountability 

data, to consist of— 

(A) The core indicators of performance 

described in paragraph (2)(A); 

(B) The additional indicators of 

performance described in paragraph (2)(B), if 

any; and 

(C) A description of efforts made to 

improve outcomes for workers under the 

trade adjustment assistance program. 

(2) CORE INDICATORS DESCRIBED.— 

(A) IN GENERAL.—The core indicators of 

performance described in this paragraph 

are— 

(i) The percentage of workers receiving 

benefits under this chapter who are 

employed during the second calendar quarter 

following the calendar quarter in which the 

workers cease receiving such benefits; 

(ii) The percentage of such workers who 

are employed in each of the third and fourth 

calendar quarters following the calendar 

quarter in which the workers cease receiving 

such benefits; and 

(iii) The earnings of such workers in each 

of the third and fourth calendar quarters 

following the calendar quarter in which the 

workers cease receiving such benefits. 

(B) ADDITIONAL INDICATORS.—The 

Secretary and a cooperating State or 

cooperating State agency may agree upon 

additional indicators of performance for the 

trade adjustment assistance program under 

this chapter, as appropriate. 

(3) STANDARDS WITH RESPECT TO 

RELIABILITY OF DATA.—In preparing the 

quarterly report required by paragraph (1), 

each cooperating State or cooperating State 

agency shall establish procedures that are 

consistent with guidelines to be issued by the 

Secretary to ensure that the data reported are 

valid and reliable. 

Administration: This new section 

establishes statutory core indicators and 

outcome reporting requirements for 

TAA participants, including an Entered 

Employment measure, two Retained 

Employment measures and an Average 

Earnings measure. Outcome data is 

required on a quarterly basis as part of 

the overall effort to improve the TAA 

program, its performance and worker 

outcomes. The Secretary and States may 

agree upon additional measures, 

although no new measures are planned 

at this time. States also must submit a 

description of efforts made to improve 

outcomes for workers. 

Some of the outcome data required by 

Section 239(j) of the 2009 Act is 


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collected on current reports while other 

data may be new or may be collected in 

different formats than those currently in 

place. Although the new reporting 

requirements under Section 239(j) are 

similar to the Common Measures 

currently reported on the Trade Act 

Participant Report (TAPR) (OMB 1205– 

0392). Section 239(j) requires CSAs to 

report additional information beyond 

that reported on the TAPR. 

Therefore, on or before August 17, 

2009, the Department expects to 

transmit new reporting forms to the 

States and issue detailed guidance on 

the new reporting requirements 

imposed on States under the 2009 Act. 

CSAs are required to continue to submit 

the TAPR (OMB Control No. 1205–0932) 

in accordance with TEGL No. 11–00, the 

ETA–563 Quarterly Participant Report 

(OMB Control No. 1205–0459) in 

accordance with TEGL 23–06, and the 

Alternative Trade Adjustment 

Assistance Activities Report (ATAAAR) 

(OMB Control No. 1205–0459) in 

accordance with TEGL No. 01–06, until 

the Department has issued superseding 

forms and guidance. 

I.4. Program Reporting Requirements 

Statutory Change: Section 1854 of the 

2009 Amendments amends the Act by 

adding Section 249B: 

SEC. 249B. COLLECTION AND 

PUBLICATION OF DATA AND REPORTS; 

INFORMATION TO WORKERS. 

(a) IN GENERAL.—Not later than 180 days 

after the date of the enactment of this section, 

the Secretary shall implement a system to 

collect and report the data described in 

subsection (b), as well as any other 

information that the Secretary considers 

appropriate to effectively carry out this 

chapter. 

(b) DATA TO BE INCLUDED.—The system 

required under subsection (a) shall include 

collection of and reporting on the following 

data for each fiscal year: 

(1) DATA ON PETITIONS FILED, 

CERTIFIED, AND DENIED.— 

(A) The number of petitions filed, certified, 

and denied under this chapter. 

(B) The number of workers covered by 

petitions filed, certified, and denied. 

(C) The number of petitions, classified by— 

(i) The basis for certification, including 

increased imports, shifts in production, and 

other bases of eligibility; and 

(ii) Congressional district of the United 

States. 

(D) The average time for processing such 

petitions. 

(2) DATA ON BENEFITS RECEIVED.— 

(A) The number of workers receiving 

benefits under this chapter. 

(B) The number of workers receiving each 

type of benefit, including training, trade 

readjustment allowances, employment and 

case management services, and relocation 

and job search allowances, and, to the extent 

feasible, credits for health insurance costs 

under section 35 of the Internal Revenue 

Code of 1986. 

(C) The average time during which such 

workers receive each such type of benefit. 

(3) DATA ON TRAINING.— 

(A) The number of workers enrolled in 

training approved under section 236, 

classified by major types of training, 

including classroom training, training 

through distance learning, on-the-job 

training, and customized training. 

(B) The number of workers enrolled in fulltime training and part-time training. 

(C) The average duration of training. 

(D) The number of training waivers granted 

under section 231(c), classified by type of 

waiver. 

(E) The number of workers who complete 

training and the duration of such training. 

(F) The number of workers who do not 

complete training. 

(4) DATA ON OUTCOMES.— 

(A) A summary of the quarterly reports 

required under section 239(j). 

(B) The sectors in which workers are 

employed after receiving benefits under this 

chapter. 

(5) DATA ON RAPID RESPONSE 

ACTIVITIES.—Whether rapid response 

activities were provided with respect to each 

petition filed under section 221. 

(c) CLASSIFICATION OF DATA.—To the 

extent possible, in collecting and reporting 

the data described in subsection. 

(b), The Secretary shall classify the data by 

industry, State, and national totals. 

(d) REPORT.—Not later than December 15 

of each year, the Secretary shall submit to the 

Committee on Finance of the Senate and the 

Committee on Ways and Means of the House 

of Representatives a report that includes— 

(1) A summary of the information collected 

under this section for the preceding fiscal 

year; 

(2) Information on the distribution of funds 

to each State pursuant to section 236(a)(2); 

and 

(3) Any recommendations of the Secretary 

with respect to changes in eligibility 

requirements, benefits, or training funding 

under this chapter based on the data 

collected under this section. 

(e) AVAILABILITY OF DATA.— 

(1) IN GENERAL.—The Secretary shall 

make available to the public, by publishing 

on the website of the Department of Labor 

and by other means, as appropriate— 

(A) The report required under subsection 

(d); 

(B) The data collected under this section, 

in a searchable format; and 

(C) A list of cooperating States and 

cooperating State agencies that failed to 

submit to the data required by this section to 

the Secretary in a timely manner. 

(2) UPDATES.—The Secretary shall update 

the data under paragraph (1) on a quarterly 

basis. 

Administration: The new reporting 

requirements for data required under 

Section 249B are effective 180 days after 

the date of the Act. Since quarterly data 

are required, and reporting a split 

quarter would not be consistent with 

legislative direction, new reporting 

requirements will be in effect for the 

Quarter beginning October 1, 2009 (the 

first quarter of fiscal year 2010). 

The new data elements required 

under Section 249B, as well as existing 

data elements collected on current 

reports, may be required to be collected 

in different formats than those currently 

in place in order to accommodate new 

reporting requirements. Therefore, on or 

before August 17, 2009, the Department 

expects to transmit new reporting forms 

to the States and issue detailed guidance 

on the new reporting requirements 

imposed on States under the 2009 Act. 

States are required to continue to submit 

the TAPR (OMB Control No. 1205–0932) 

in accordance with TEGL No. 11–00, the 

ETA–563 Quarterly Participant Report 

(OMB Control No. 1205–0459) in 

accordance with TEGL No. 23–06, and 

the ATAAAR (OMB Control No. 1205– 

0459) in accordance with TEGL No. 01– 

06, until the Department issues 

superseding forms and guidance. 

J. Health Coverage Tax Credit 

Statutory Change: Sections 1899A and 

1899B of the 2009 Amendments, 

relating to the HCTC, amended Sections 

35(a) and 7527(b) of the Internal 

Revenue Code of 1986 by adding a new 

section, Section 7527(e), to provide for 

80 percent reimbursement of health 

insurance costs during the period from 

March 2009 through December 2010, to 

provide for certain retroactive 

payments, and also to reduce the 

amount of any such payment by the 

amount of any National Emergency 

Grant (NEG) payments to the taxpayer. 

Section 1899C of the 2009 Amendments 

amended the definition of an ‘‘eligible 

TAA recipient’’ to provide the HCTC 

during breaks in approved training and 

where, under defined circumstances, a 

worker is not in approved training. 

Section 1899K of the 2009 Act extends 

the use of NEGs under Section 173(f) of 

the WIA to cover HCTC advance 

payments, outreach, and infrastructure 

changes. 

Administration: The Internal Revenue 

Service administers the HCTC, which 

helps ‘‘eligible TAA recipients’’ and 

‘‘eligible alternative TAA recipients’’ 

and other eligible individuals and their 

families pay their health insurance 

premiums. ‘‘Eligible alternative TAA 

recipients’’ includes ATAA recipients 

and RTAA recipients. 

The new definition of an ‘‘eligible 

TAA recipient’’ as amended continues 

to be defined as an individual who 

receives Trade Readjustment 

Allowances (TRA) for any day of a 

month (and the next subsequent month) 

or who will receive TRA but for the fact 

that s/he has not exhausted 


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unemployment compensation (UC) 

entitlement, and is potentially eligible 

for HCTC for that month. Under the 

2009 Act, an eligible TAA recipient also 

includes: 

An individual 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, 

Who is receiving UC for any day of 

such month and would be eligible to 

receive TRA (except that s/he has not 

exhausted UC) for such month, without 

regard to the enrollment in training 

requirements. 

These amendments have the effect of 

expanding HCTC eligibility, under some 

conditions, to an individual who is in 

an extended break in training, or who is 

still receiving UI benefits under regular 

or extended programs even though they 

are not yet enrolled in training. 

Accordingly, CSAs will need to ensure 

that they review each case individually 

before determining HCTC eligibility for 

trade affected workers. 

CSAs should also be aware that these 

amendments provide, through 

December, 2010, for the continuation of 

HCTC to certain family members of 

eligible recipients after eligibility would 

have ended due to receipt of Medicare, 

death, or divorce of the principle 

recipient. The CSA has no role in the 

administration of this extension, which 

is the responsibility of the IRS, however 

the CSA needs to be aware of this 

provision. This expanded eligibility is 

available for up to 24 additional months 

and permits eligible family members to 

continue to claim the HCTC credit after 

eligibility would otherwise have 

expired. 

UIPL No. 21–09 provides guidance on 

applying the expanded definition of 

‘‘eligible TAA recipient.’’ Additional 

information on the HCTC program is 

available on the IRS Web site at: 

http://www.irs.gov. 

Signed: at Washington, DC, this 25th day 

of September 2009. 

Jane Oates, 

Assistant Secretary, Employment and 

Training Administration. 

[FR Doc. E9–23660 Filed 9–30–09; 8:45 am] 

BILLING CODE 4510–FN–P 


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