FISCAL YEAR 2013

ANNUAL REPORT TO CONGRESS

TRADE ADJUSTMENT ASSISTANCE FOR FIRMS 

PROGRAM

ECONOMIC DEVELOPMENT ADMINISTRATION

U.S. DEPARTMENT OF COMMERCE
Page 2 of 51

“Following completion of assistance from EDA’s Trade Adjustment Assistance for Firms

(TAAF) program, firms reported that, on average, sales increased by 85 percent,

employment increased by 43 percent, and productivity increased by 29 percent.”

Executive Summary

This annual report is submitted in accordance with section 255A of chapter 3 of title II of 

the Trade Act of 1974, as amended (19 U.S.C. § 2341 et seq.) (commonly referred to as 

the Trade Act). Section 255A of the Trade Act directs the Secretary of Commerce to 

“submit an annual report on the Trade Adjustment Assistance for Firms (TAAF) program 

to Congress no later than December 15, 2012 and each year thereafter”. The TAAF 

program is authorized by chapters 3 and 5 of title II of the Trade Act. 

Key Findings

In Fiscal Year (FY) 2013, firms assisted by the U.S. Department of Commerce Economic 

Development Administration’s (EDA) Trade Adjustment Assistance for Firms (TAAF) 

program performed more successfully than the manufacturing industry as a whole,

demonstrating a significant return on federal investment. These findings follow similar 

positive findings in EDA’s FY 20121 Annual Report, along with a positive report by U.S. 

Government Accountability Office in FY 20122. Overall, the program is effective in 

helping firms become more competitive and overcome negative trade impacts. Examples 

of TAAF program benefits to manufacturing firms can be found in the supplement and the 

end of this report.

In FY 2013, firms participating in the U.S. Department of Commerce Economic 

Development Administration’s (EDA) Trade Adjustment Assistance for Firms (TAAF) 

program reported that, on average, their sales increased by 85 percent, employment 

increased by 43 percent, and productivity increased by 29 percent from the time of TAAF 

certification to the completion of the TAAF program. These same firms also report that 

one year after completing the program (FY 2012), average sales increased by 13 percent, 

average employment increased by 0.7 percent, and average productivity increased by 12 

percent. By comparison to non-assisted similar firms, the U.S. Department of Labor’s 

Bureau of Labor Statistics (BLS) reports that, in FY 2012, the national manufacturing 

industry in aggregate experienced an average employment increase of 1.4 percent and 

average productivity increase of 1.3 percent from FY 2011. 

The firms also reported that two years after completing the program, average sales 

increased 6.6 percent, average employment increased 20 percent, and average productivity 

increased 13 percent compared to the date of completion. By comparison to non-assisted 

similar firms, BLS reported that, in FY 2013, the manufacturing industry as a whole 

 1 See EDA’s FY 2012 TAAF Annual Report, available at www.eda.gov.

2 See http://www.gao.gov/products/GAO-12-930
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experienced an average employment increase of only 0.4 percent and an average 

productivity increase of 3.6 percent from FY 20113

. 

Furthermore, the firms reported that from the time of certification (as opposed to the time 

of program completion) to two years after the completion of assistance from the TAAF 

programs, sales increased by 122 percent, employment increased by 53 percent, and 

productivity increased by 46 percent.

The average sales of these firms at the time of completion of the TAAF program (FY 

2011) were $21.9 million, average employment was 136 and average sales per employee 

(productivity) were $161,604. 

All TAAF-assisted firms that completed the program in FY 2011 were in operation at the 

end of FY 2013, indicating strong survival rates for TAAF-assisted firms in the face of 

import pressures. 

Summary of the TAAF Program

The TAAF program is authorized by chapters 3 and 5 of title II of the Trade Act. The 

responsibility for administering the TAAF program is delegated to EDA by the Secretary 

of Commerce. The TAAF program provides technical assistance to U.S. manufacturing 

and production firms4 affected by import competition in order to help them develop and 

implement projects to regain global competitiveness, increase profitability and create jobs. 

On October 21, 2011, the President signed into law the Trade Adjustment Assistance 

Extension Act (TAAEA) of 2011 (Pub. L. No. 112-40). This Act retroactively extended 

some provisions – such as eligibility for service firms and expanded time periods for 

qualifying firm eligibility – that were enacted as part of the TGAAA until December 31, 

2013, and authorized TAAF until December 31, 2014.

The mission of the TAAF program is to help U.S. firms regain competitiveness in the

global economy. Import-impacted U.S. manufacturing and production firms can receive 

direct technical assistance to help expand markets, strengthen operations and increase 

competitiveness through the TAAF program. The program provides assistance to support 

the development of business recovery plans, commonly referred to as “Adjustment 

Proposals” or “APs”, under Section 252 of the Trade Act, and matching funds to 

implement projects outlined in the APs. 

 3 BLS does not collect a sales measure comparable to EDA’s measure in this report (i.e. average sales per 

employee). 

4 Upon the enactment of the Trade Adjustment Assistance Extension Act of 2011 (TAAEA) (P.L. 112-40, 

enacted Oct. 21, 2011), service sector firms again became eligible for assistance. Pursuant to the statute, on 

January 1, 2014, the TAAF program reverted from the expanded program made effective by TAAEA to the 

more limited program that was in effect on February 13, 2011 before the TAAEA amendments. This means 

that as of January 1, 2014, among other things, service sector firms are no longer eligible for assistance.
Page 4 of 51

The TAAF program supports a national network of 11 independent non-profit or 

university-affiliated Trade Adjustment Assistance Centers (TAACs) to help U.S. 

manufacturing and production firms in all 50 States, the District of Columbia and the 

Commonwealth of Puerto Rico. Firms work with the TAACs in a public-private 

collaborative framework to apply for certification of eligibility for TAAF assistance, and 

prepare and implement strategies to guide their economic recovery. EDA’s partnership 

with the TAACs network allows firms to receive customized assistance from highly 

qualified experts who are knowledgeable about the needs, challenges and opportunities 

facing the industries in their region. The most common types of assistance provided in FY 

2013 were marketing/sales improvement and production/engineering projects, which 

comprised over half of all projects supported throughout the year. 

As of September 30, 2013, 882 active firms with combined sales of $13.4 billion and a 

workforce of 76,268 participated in the TAAF program. In FY 2013, TAACs provided 

technical assistance to 442 firms in preparing petitions, 133 firms in preparing APs, and 

692 firms in implementing projects within their APs. Meanwhile, EDA certified 105

petitions and approved 114 APs.

EDA successfully met both the 40-day processing deadline (to make a final determination 

for petitions accepted for filing) and the 60-day processing deadline for approval of APs, 

as required in the TGAAA. In FY 2013, the average processing time for petitions was 25

business days, and the average processing time for APs was 19 business days.

In order to assess the effectiveness of the TAAF program, EDA evaluates the extent to

which client firms increased their sales, employment levels, and productivity following the 

implementation of TAAF-supported projects (program completion). To measure these 

outcomes, EDA compares average sales, average employment and average productivity of 

all firms completing the program in a particular year (known as the “base year.”) These 

measures are compared for the same firms one and two years following program 

completion. The base year used for this report is FY 2011, as this allows EDA to compare 

these measures looking back both one and two years from the date of this report.
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Table of Contents

Introduction ............................................................................................................................................. 6

Program Description............................................................................................................................... 8

Results/Findings..................................................................................................................................... 12

Data for This Report............................................................................................................................. 12

(1) The number of firms that inquired about the program................................................................... 12

(2) The number of petitions filed under section 251. .......................................................................... 13

(3) The number of petitions certified and denied by the Secretary. .................................................... 13

(4) The average time for processing petitions after the petitions are filed.......................................... 13

(5) The number of petitions filed and firms certified for each Congressional District in the 

United States.................................................................................................................................. 18

(6) Of the number of petitions filed, the number of firms that entered the program and received 

benefits........................................................................................................................................... 22

(7) The number of firms that received assistance in preparing their petitions. ................................... 23

(8) The number of firms that received assistance developing business recovery plans...................... 24

(9) The number of business recovery plans approved and denied by the Secretary............................ 25

(10) Average duration of benefits received under the program nationally and in each region served 

by an intermediary organization (the TAAC) referred to in section 253(b)(1) of the Trade Act. . 27

(11) Sales, employment, and productivity at each firm participating in the TAAF program at the 

time of certification. ...................................................................................................................... 31

(12) Sales, employment, and productivity at each firm upon completion of the program and each 

year for the two-year period following completion....................................................................... 33

(13) The number of firms in operation as of the date of this report and the number of firms that 

ceased operations after completing the program in each year during the two-year period 

following completion of the program. ........................................................................................... 33

(14) The financial assistance received by each firm participating in the program................................ 38

(15) The financial contribution made by each firm participating in the program. ................................ 38

(16) The types of technical assistance included in the business recovery plans of firms participating 

in the program................................................................................................................................ 38

(17) The number of firms leaving the program before completing the project or projects in their 

business recovery plans and the reason the project or projects were not completed..................... 40

(18) The total amount expended by all intermediary organizations referred to in Section 253(b)(1) 

and by each organization to administer the program..................................................................... 41

(19) The total amount expended by intermediary organizations to provide technical assistance to 

firms under the program nationally and in each region served by such an organization............... 42

Conclusion.............................................................................................................43

Supplement - TAAF Program Benefits to Manufacturing Firms..........................................44
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Introduction

his report is provided in compliance with Section 255A of chapter 3 of title II of 

the Trade Act. Section 255A of the Trade Act directs the Secretary of Commerce 

to provide an annual report on the Trade Adjustment Assistance for Firms 

(TAAF) program by the 15th of December. Section 255 of the Trade Act states:

IN GENERAL.—Not later than December 15, 2012, and annually 

thereafter, the Secretary shall prepare a report containing data regarding 

the trade adjustment assistance for firms program under this chapter for 

the preceding fiscal year. The data shall include the following: 

This report will provide findings and results classified by intermediary 

organization5, state, and national totals6, to the extent that the data are available 

on the following 19 measures:

1. The number of firms that inquired about the program.

2. The number of petitions filed under section 251.

3. The number of petitions certified and denied by the Secretary.

4. The average time for processing petitions after the petitions are filed. 

5. The number of petitions filed and firms certified for each Congressional 

district of the United States.

6. Of the number of petitions filed, the number of firms that entered the 

program and received benefits.

7. The number of firms that received assistance in preparing their petitions.

8. The number of firms that received assistance developing business recovery 

plans.

9. The number of business recovery plans approved and denied by the 

Secretary.

10. The average duration of benefits received under the program nationally and 

in each region served by an intermediary organization referred to in section 

253(b)(1) of the Trade Act.

11. Sales, employment, and productivity at each firm participating in the TAAF 

program at the time of certification.

12. Sales, employment, and productivity at each firm upon completion of the 

program and each year for the two-year period following completion.

 5 “Intermediary Organization” referred to in section 253(b)(1) are the Trade Adjustment Assistance Centers 

(TAACs).

6 See chapter 3 of title II of the Trade Act, section 255A (b) Classification of Data. 

T
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13. The number of firms in operation as the date of the report and the number of 

firms that ceased operations after completing the program and in each year 

during the two-year period following completion of the program.

14. The financial assistance received by each firm participating in the program.

15. The financial contribution made by each firm participating in the program.

16. The types of technical assistance included in the business recovery plans of 

firms participating in the program.

17. The number of firms leaving the program before completing the project or 

projects in their business recovery plans and the reason the project was not 

completed.

18. The total amount expended by all intermediary organizations referred to in 

Section 253(b)(1) and by each organization to administer the program.

19. The total amount expended by intermediary organizations to provide 

technical assistance to firms under the program nationally and in each region 

served by such an organization.
Page 8 of 51

Program Description

“The manufacturing sector accounts for 70 percent of U.S. private-sector research and 

development, 70 percent of patents, and the vast majority of U.S. exports. Manufacturing 

jobs provide a key pathway into the middle class, with workers earning between wages 

and benefits 17% more than their counterparts in other sectors.”7

The TAAF program is authorized by chapters 3 and 5 of title II of the Trade Act. The 

responsibility for administering the TAAF program is delegated to EDA by the Secretary 

of Commerce. The TAAF program provides technical assistance to U.S. manufacturing 

and production firms affected by import competition in order to help them develop and 

implement projects to regain global competitiveness, increase profitability and create 

jobs. 

The mission of the TAAF program is to help U.S. firms regain competitiveness in the

global economy. Import-impacted U.S. manufacturing and production firms8 can receive 

direct technical assistance through matching funds provided to Trade Adjustment 

Assistance Centers (TAACs), which the TAACs then use to match the costs for thirdparty consultants to help firms expand markets, strengthen operations and increase 

competitiveness. The program provides assistance to support the development of 

business recovery plans, commonly referred to as “Adjustment Proposals or “APs”, under 

Section 252 of the Trade Act, and matching funds to implement projects outlined in the 

APs. 

The TAAF program supports a national network of 11 independent non-profit or 

university-affiliated TAACs to help U.S. manufacturing and production firms in all 50 

States, the District of Columbia and the Commonwealth of Puerto Rico. Firms work with 

the TAACs in a public-private collaborative framework to apply for certification of 

eligibility for TAAF assistance, and prepare and implement strategies to guide their 

economic recovery. 

Exhibit 1: TAACs and their Respective Service Areas 

TAAC Service Areas

Great Lakes Indiana, Michigan and Ohio

Mid-America Arkansas, Kansas and Missouri

 7 U.S. Secretary of Commerce Penny Pritzker’s testimony on Strengthening Innovation and Manufacturing 

for a 21st Century Economy, November 13, 2013. 8 Under the Trade Adjustment Assistance Extension Act of 2011 (TAAEA) (P.L. 112-40, enacted Oct. 21, 

2011), which expired December 31, 2013, service sector firms were eligible for assistance. As TAAF was

not reauthorized before January 1, 2014, the TAAF program reverted from the expanded program made 

effective by TAAEA to the more limited program that was in effect on February 13, 2011 before the 

TAAEA amendments. This means that as of January 1, 2014, among other things, service sector firms are 

no longer eligible for assistance.
Page 9 of 51

TAAC Service Areas

Mid-Atlantic

Delaware, District of Columbia, Maryland, New Jersey, Pennsylvania, 

Virginia and West Virginia

Midwest Illinois, Iowa, Minnesota and Wisconsin

New England

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and 

Vermont

New York State New York

Northwest Alaska, Idaho, Montana, Oregon and Washington

Rocky Mountain

Colorado, Nebraska, New Mexico, North Dakota, South Dakota, Utah 

and Wyoming

Southeastern

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South 

Carolina, Tennessee and the Commonwealth of Puerto Rico

Southwest Louisiana, Oklahoma and Texas

Western Arizona, California, Hawaii and Nevada

The TAAF program is one of four distinct programs authorized under the Trade Act. The 

other TAA programs are TAA for Workers and TAA for Community College and Career 

Training, which are both administered by DOL and TAA for Farmers, which is 

administered by USDA.

Exhibit 2: TAA Programs

Program Initiative

As noted above, the TAAF program provides technical assistance to help firms develop 

and implement business recovery plans, commonly referred to as “Adjustment Proposals 

or “APs. Projects identified in the AP are designed to improve a firm’s competitive 

position. Specifically, under the TAAF program, funds are applied toward helping firms 

access consultants, engineers, designers or industry experts to implement business 
Page 10 of 51

improvement projects. These projects may cover a range of functional areas to improve a 

firm’s market position and increase its overall competitiveness, including engineering, 

information technology, management, market development, marketing, new product 

development, quality improvement and sales. Funds are not provided directly to firms; 

instead, EDA funds TAACs and TAACs use funds to pay a portion of the cost to secure 

specialized business consultants.

Exhibit 3: Program Phases

There are three main phases to receiving technical assistance under the TAAF program: 

(1) petitioning for certification, (2) recovery planning and (3) AP implementation. 

Phase I - Petitioning for Certification9

The first step to receiving assistance is the submission of a petition to EDA to be certified 

as a trade-impacted firm. A petition is comprised of Form ED-840P, titled “Petition by a 

Firm for Certification of Eligibility to Apply for Trade Adjustment Assistance,” and 

required supporting documentation. Generally, certification specialists in the TAACs 

work with the firm at no cost to the firm to complete and submit a petition to EDA. 

Upon receipt of the petition, EDA performs an analysis of the petition and supporting 

documents to determine if the petition is complete and may be accepted. EDA is required 

to make a final determination on the petition within 60 days of accepting a petition. 

To certify a firm as eligible to apply for adjustment assistance, the Secretary must 

determine that the following three conditions are met: 

1. A significant number or proportion of the workers in the firm have been or are 

threatened to be totally or partially separated;

2. Sales and/or production of the firm have decreased absolutely, or sales and/or 

production of an article or service that accounted for at least 25 percent of total 

 9 Upon the enactment of the Trade Adjustment Assistance Extension Act of 2011 (TAAEA) (P.L. 112-40, 

enacted Oct. 21, 2011), service sector firms again became eligible for assistance. Pursuant to the statute, on 

January 1, 2014, the TAAF program reverted from the expanded program made effective by TAAEA to the 

more limited program that was in effect on February 13, 2011 before the TAAEA amendments. This 

means that as of January 1, 2014, among other things (included but not limited to):

1. Service sector firms are no longer eligible for assistance,

2. Applicant firms may only use a 12-month “look back” period to demonstrate their eligibility, and not 

a 24- or 36-month look back period, and

3. EDA must make a determination on a petition under the program within 60 days. 
Page 11 of 51

production or sales of the firm during the 12 months preceding the most recent 12-

month period for which data are available have decreased absolutely; and

3. Increased imports of articles like or directly competitive with articles produced or 

services provided by the firm have “contributed importantly” to both the layoffs and 

the decline in sales and/or production.

Phase II - Recovery Planning

Certified firms then work with TAAC staff to develop a customized AP for submission to 

EDA for approval. Once an AP has been submitted, EDA is required to make a final 

determination within 60 days. 

Phase III - AP Implementation

The firm works with consultants to implement projects in an approved AP. As projects 

are implemented and if the firm is satisfied with the work, the firm will first pay their 

match to the consultant, and then send a notice to the TAAC stating that they are satisfied 

with the work and that they have paid their matching share. The TAAC will then pay the 

Federal matching share. Firms have up to five years from the date of an AP’s approval to 

implement the approved business recovery strategy contained therein, unless they receive 

approval for an extension. Generally, firms complete the implementation of their 

respective APs over a two-year period.

In general, the TAACs provide an array of services to assist import-impacted firms 

throughout this process, including:

• Assisting firms in preparing their petitions for TAAF. Firms are not charged for 

any assistance related to the preparation of a petition.

• Once a petition has been approved, TAACs work closely with a firm’s

management to identify the firm’s strengths and weaknesses and develop a 

customized business strategy (AP) designed to foster competitiveness. The 

program pays up to 75% of the cost of developing an AP and the firm must pay 

the rest. EDA must approve all APs to ensure they conform to statutory and 

regulatory requirements.

• After an AP has been approved, company management and TAAC staff jointly 

identify consultants with the specific expertise required to assist the firm in 

implementing their competitiveness strategy. 

• Under the TAAF program, EDA shares the cost of implementing tasks under an 

approved AP to support competitiveness. For an AP in which proposed tasks total 

$30,000 or less, EDA provides up to 75 percent of the cost and the firm is 

responsible for the balance. For an AP in which proposed tasks total over 

$30,000, EDA pays 50 percent of the total cost and the firm pays the remaining 

50 percent. In order to most efficiently and effectively utilize limited program 

funds, EDA limits its share of technical assistance to a certified firm to no more 
Page 12 of 51

than $75,000. After a competitive procurement process, the TAAC and the firm 

generally contract with private consultants to implement the AP.

Results/Findings 

Data for This Report

The data used in this report were collected from the TAACs as part of their reporting 

requirements, petitions for certification, and the APs submitted by the TAACs on behalf 

of firms. Eligibility Reviewers at EDA recorded data from these sources into a central 

database. The data presented in this report has been verified by the TAACs. Results for 

average processing times were derived by EDA. Data in this report reflect data as of the 

end of FY 2013. Therefore, data in this Annual Report may differ from previously 

published data that were based on different periods.

(1) The number of firms that inquired about the program.

In FY 2013, the TAACs received 2,608 inquiries about the program.

Exhibit 4: Inquiries about the TAAF program by TAAC

TAAC

No. of Firms that 

Inquired about the 

TAAF program

Great Lakes 99

Mid-America 710

Mid-Atlantic 38

Midwest 62

New England 60

New York State 67

Northwest 168

Rocky Mountain 248

Southeastern 287

Southwest 174

Western 695

Total 2,608
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(2) The number of petitions filed under section 251.

(3) The number of petitions certified and denied by the Secretary.

(4) The average time for processing petitions after the petitions are filed. 

As part of its overall commitment to performance evaluation and continuous 

improvement, EDA assesses the performance of the TAAF program both in terms of 

“inputs” (e.g., types of firms assisted, petition, and AP submissions) and “outcomes” 

(changes in sales, employment levels, and productivity of client firms). 

In terms of inputs, the TAAF program effectively targeted small and medium-sized firms 

in FY 2013. EDA received 104 petitions and 105 were filed (accepted for investigation) 

under section 251 of the Trade Act, up by 22 petitions, a 27 percent increase, compared to 

the number of petitions filed in FY 2012. EDA certified 105 petitions, up by 26 petitions, 

a 33 percent increase compared to the number of certifications in FY 201210. Petitions are 

certified on a rolling basis throughout the year. Petitions certified in FY 2013 may be the 

result of those received or filed (accepted) in FY 2012, while petitions received or filed 

(accepted) in FY 2013 may not result in certification in FY 2013.

The average processing time (from acceptance to certification) for petitions was 25 

business days, a 14 percent decrease compared to the average processing time for 

petitions in FY 2012. EDA is required to process petitions for certification within 40 

days of acceptance.

Exhibit 5: Petition Activity: FY 2009 – FY 201311

FY

No. of 

Petitions 

Received

No. of 

Petitions 

Accepted 

for Filing

No. of 

Petitions 

Certified 

No. of 

Petitions 

Denied or 

Withdrawn

Average 

Days 

Between 

Receipt and 

Acceptance 

(Filing) 

Average 

Days 

Between 

Acceptance 

(Filing) and 

Certification

Average 

Days 

Between 

Receipt and 

Certification

2009 276 243 216 1 28 45 70

2010 311 329 330 0 61 31 74

2011 128 129 149 22 16 21 36

2012 85 83 79 3 29 29 58

2013 104 105 105 1 13 25 37

% Change 

(2012 to 

2013) 22% 27% 33% N/A (55%) (14%) (36%)

 10 Some TAACs believe that fewer firms were eligible to participate in the program because the economy’s 

improvement from FY 2010 and FY 2011 prevented some firms from demonstrating a decrease in 

employment, sales and production required for eligibility. 11 Petitions are certified on a rolling basis throughout the year, therefore activity in these categories may not 

result in certification within the same FY. These totals represent the activity under each category within 

FY 2013.
Page 14 of 51

Exhibit 6: Petitions Received by TAAC: FY 2009 – FY 2013

Exhibit 7: Petitions Accepted by TAAC: FY 2009 – FY 2013

Exhibit 8: Petitions Certified by TAAC: FY 2009 – FY 2013
Page 15 of 51

Exhibit 9: Petitions Received, Accepted, and Certified by TAAC: FY 2013

Exhibit 10: Petitions Received, Accepted, and Certified by TAAC/State: FY 2013

TAAC/State

Petitions 

Received

Petitions 

Accepted 

Petitions 

Certified

Great Lakes 11 11 11

IN 7 7 7

MI 3 3 3

OH 1 1 1

Mid-America 7 7 7

AR 0 0 0

KS 2 2 2

MO 5 5 5

MidAtlantic 12 13 14

DC 0 0 0

DE 0 0 0

MD 0 0 0

NJ 0 1 2

PA 12 12 12

VA 0 0 0

WV 0 0 0

Midwest 22 22 22

IA 0 0 0

IL 15 15 16

MN 2 2 2

WI 5 5 4

New England 3 3 3

CT 1 1 1

MA 1 1 1
Page 16 of 51

TAAC/State

Petitions 

Received

Petitions 

Accepted 

Petitions 

Certified

ME 0 0 0

NH 0 0 0

RI 0 0 0

VT 1 1 1

New York State 2 2 3

NY 2 2 3

Northwest 10 10 10

AK 1 1 1

ID 2 2 2

MT 1 1 1

OR 2 2 2

WA 4 4 4

Rocky Mountain 17 16 14

CO 7 7 6

ND 1 1 1

NE 4 4 4

NM 0 0 0

SD 1 1 1

UT 4 3 2

WY 0 0 0

Southeastern 11 10 11

AL 2 2 2

FL 0 0 0

GA 1 1 1

KY 0 0 0

MS 0 0 0

NC 4 4 5

SC 3 2 2

TN 1 1 1

PR 0 0 0

Southwest 4 5 4

LA 3 3 2

OK 1 2 2

TX 0 0 0

Western 5 6 6

AZ 0 0 0

CA 3 4 4

NV 2 2 2

Total 104 105 105
Page 17 of 51

The majority of petitions certified under the TAAF program were submitted by firms in the 

manufacturing industry. Firms in technical services, transportation, and wholesale trade 

rounded out the remaining industries12. 

Exhibit 11: Firms Certified for TAAF by Industry: FY 2013

In FY 2013, 3 percent of firms certified for TAAF were identified by the TAACs as service 

sector firms13. This is a decrease over FY 2012, where 6 percent of firms certified were 

identified by the TAACs as service sector firms. Service sector firms are no longer eligible 

for TAAF services after December 31, 201314. 

Exhibit 12: Firms Certified for TAAF Service vs. Manufacturing: FY 2013

FY

Total No. 

of Firms 

Certified

Manufacturing 

Firms

Percentage of 

Manufacturing 

Firms Certified

Service 

Firms

Percentage of 

Service Firms 

Certified

2011 149 146 98% 3 2%

2012 79 74 94% 5 6%

2013 105 93 89% 3 3%

 12 As identified by the firm’s North American Industry Classification System (NAICS) code. 13 Firms in the service sector may also perform dual functions as manufacturing firms and may have been 

categorized by TAACs as a manufacturing firm.

14 Under the Trade Adjustment Assistance Extension Act of 2011 (TAAEA) (P.L. 112-40, enacted Oct. 21, 

2011), which expired December 31, 2013, service sector firms were eligible for assistance. As TAAF was not 

reauthorized before January 1, 2014, the TAAF program reverted from the expanded program made effective by 

TAAEA to the more limited program that was in effect on February 13, 2011 before the TAAEA amendments. 

This means that as of January 1, 2014, among other things, service sector firms are no longer eligible for 

assistance.
Page 18 of 51

(5) The number of petitions filed and firms certified for each Congressional District in 

the United States.

Exhibit 13: Petitions Filed (Accepted) and Certified by Congressional District: FY 2013

TAAC/State 

Congressional 

District

Petitions 

Accepted 

Petitions 

Certified

Great Lakes 11 11

IN 7 7

2 4 4

8 3 3

MI 3 3

4 1 1

6 1 1

9 1 1

OH 1 1

4 1 1

Mid-America 7 7

AR 0 0

KS 2 2

3 1 1

4 1 1

MO 5 5

1 2 2

2 1 1

4 1 1

5 1 1

MidAtlantic 13 14

DC 0 0

DE 0 0

NJ 1 2

7 0 1

11 1 1

PA 12 12

3 1 2

4 4 3

5 1 1
Page 19 of 51

TAAC/State 

Congressional 

District

Petitions 

Accepted 

Petitions 

Certified

6 1 1

9 1 0

13 1 1

17 1 1

19 2 3

VA 0 0

WV 0 0

Midwest 22 22

IA 0 0

IL 15 16

1 1 1

3 1 1

5 1 1

6 2 2

7 1 1

8 3 4

9 2 2

14 4 4

MN 2 2

5 1 1

6 1 1

WI 5 4

2 2 1

3 1 1

6 1 1

8 1 1

New England 3 3

CT 1 1

2 1 1

MA 1 1

5 1 1

ME 0 0

NH 0 0

RI 0 0

VT 1 1

2 1 1
Page 20 of 51

TAAC/State 

Congressional 

District

Petitions 

Accepted 

Petitions 

Certified

New York State 2 3

NY 2 3

2 1 1

21 0 1

25 1 1

Northwest 10 10

AK 1 1

At-Large 1 1

ID 2 2

1 2 2

MT 1 1

At-Large 1 1

OR 2 2

1 1 1

2 1 1

WA 4 4

2 0 1

3 1 1

7 2 2

8 1 0

Rocky Mountain 16 14

CO 7 6

2 4 3

4 1 1

5 1 1

7 1 1

ND 1 1

At-Large 1 1

NE 4 4

2 2 2

3 2 2

NM 0 0

SD 1 1

At-Large 1 1
Page 21 of 51

TAAC/State 

Congressional 

District

Petitions 

Accepted 

Petitions 

Certified

UT 3 2

1 1 1

2 2 1

WY 0 0

Southeastern 10 11

AL 2 2

4 1 1

6 1 1

FL 0 0

GA 1 1

10 1 1

KY 0 0

MS 0 0

NC 4 5

3 1 1

5 2 2

7 1 1

12 0 1

PR 0 0

SC 2 2

2 1 1

6 1 1

TN 1 1

3 1 1

Southwest 5 4

LA 3 2

1 1 0

3 1 1

4 1 1

OK 2 2

1 2 2

TX 0 0

Western 6 6

AZ 0 0

CA 4 4

11 1 1
Page 22 of 51

TAAC/State 

Congressional 

District

Petitions 

Accepted 

Petitions 

Certified

25 1 1

34 1 1

44 1 1

NV 2 2

2 2 2

Total 105 105 

(6) Of the number of petitions filed, the number of firms that entered the program 

and received benefits15.

In FY 2013, 104 petitions were accepted (filed) for certification and 105 were certified. 

Of the 105 firms certified in FY 2013, 82 firms submitted and were approved for an AP

in the same fiscal year16. An additional 32 firms that were certified for TAAF in 

previous fiscal years were also approved for an AP in FY 2013.

Exhibit 14: Petitions Certified and APs Approved: FY 2013

TAAC

No. of Petitions 

Accepted 

No. of Petitions 

Certified

No. of APs 

Approved for 

Firms Certified 

in FY 2013 

Great Lakes 11 11 8

Mid-America 7 7 6

MidAtlantic 13 14 6

Midwest 22 22 20

New England 3 3 3

New York State 2 3 1

Northwest 10 10 10

Rocky Mountain 16 14 13

Southeastern 10 11 6

Southwest 5 4 3

Western 6 6 6

Total 105 105 82

 15 Benefits are defined as technical assistance provided to TAAF-certified firms in preparing and implementing 

business recovery plans (APs).

16 Firms have up to two years from the date of TAAF certification to submit a business recovery plan (AP). 

These totals represent the firms certified for TAAF in FY 2013 that also submitted and received an approved 

business recovery plan in the same fiscal year. The total number of APs approved in FY 2013 is reported in 

Exhibits 19, 20 and 21.
Page 23 of 51

Exhibit 15: TAAF Assistance to Firms: FY 2013

In FY 2013, 1,129 unique firms received TAAF technical assistance in preparing petitions, 

developing APs, and/or implementing projects in these plans. Although firms may receive 

assistance in all phases of the TAAF program more than once in a single fiscal year, firms 

were counted once in this table. 

TAAC TAAF Assistance

Great Lakes 81

Mid-America 57

MidAtlantic 106

Midwest 336

New England 110

New York State 84

Northwest 88

Rocky Mountain 90

Southeastern 91

Southwest 43

Western 43

Total 1,129

(7) The number of firms that received assistance in preparing their petitions.

In FY 2013, 442 firms received assistance in preparing petitions. Firms may receive 

assistance in all phases of preparing petitions more than once in a single year. Petition 

assistance rendered may not result in the submission of a petition in the fiscal year.

Exhibit 16: Petition Assistance Activity: FY 2013

TAAC Petition Assistance

Great Lakes 16

Mid-America 28

MidAtlantic 17

Midwest 208

New England 7

New York State 37

Northwest 17

Rocky Mountain 23

Southeastern 59

Southwest 16

Western 14

Total 442
Page 24 of 51

(8) The number of firms that received assistance developing business recovery plans.

In FY 2013, 133 firms received assistance in developing APs and 692 firms received 

assistance in implementing projects in these plans. Firms may receive assistance in 

developing and implementing APs more than once in a single year. AP assistance rendered 

may not result in the submission or implementation of an AP in the current fiscal year.

Exhibit 17: AP Development Activity: FY 2013

TAAC

AP Development 

Assistance

Great Lakes 10

Mid-America 6

MidAtlantic 22

Midwest 26

New England 2

New York State 16

Northwest 13

Rocky Mountain 18

Southeastern 8

Southwest 3

Western 9

Total 133

Exhibit 18: AP Implementation Activity: FY 2013

TAAC

AP Implementation 

Assistance

Great Lakes 75

Mid-America 32

MidAtlantic 51

Midwest 155

New England 110

New York State 47

Northwest 78

Rocky Mountain 77

Southeastern 24

Southwest 8

Western 35

Total 692
Page 25 of 51

(9) The number of business recovery plans approved and denied by the Secretary.

In FY 2013, EDA approved 114 APs, an increase of 12 compared to FY 2012 and a 12

percent increase over this period17. EDA successfully met the 60-day processing deadline for 

approval of APs. The average processing time for APs was 15 business days, a 29 percent 

decrease compared to FY 2012 18.

Exhibit 19: Summary of APs Approved: FY 2009 – FY 2013

FY

No. of APs 

Approved

Total 

Government 

Share 

Total Firm 

Share 

Total 

Projected AP

Costs 

Average 

Government 

Assistance 

Per Firm

Average Days 

Between 

Submission 

and Approval

2009 172 $10,393,639 $9,888,201 $20,281,840 $60,428 20

2010 264 $16,448,946 $15,743,946 $32,192,892 $62,307 24

2011 183 $11,075,545 $10,580,545 $21,656,090 $60,522 16

2012 102 $5,437,455 $5,033,455 $10,470,910 $53,308 21

2013 114 $6,192,998 $5,775,497 $11,968,495 $54,325 15

Total 835 $49,548,583 $47,021,645 $96,570,227 $59,340 19

% Change 

(2012 to 2013) 12% 14% 15% 14% 2% (29%)

Exhibit 20: APs Approved by TAAC: FY 2009 – FY 2013

 17 Some TAACs believe that fewer firms were eligible to participate in the program because the economy’s 

improvement from FY 2010 and FY 2011 prevented some firms from demonstrating a decrease in employment, 

sales, and production required for eligibility. Subsequently, fewer APs were submitted.

18 Firms have two years from the date of certification to submit an AP to EDA. APs approved in FY 2013 may 

represent firms that were certified for TAAF between FY 2011 – FY 2013.
Page 26 of 51

Exhibit 21: APs Approved by TAAC/State: FY 2013

TAAC/State

No. of APs 

Approved

Government

Share of 

Approved 

AP Projects

Firm Share of 

Approved AP 

Projects

Total 

Approved 

AP Projects

Great Lakes 9 $591,740 $576,740 $1,168,480

IN 5 $313,400 $298,400 $611,800

MI 2 $128,340 $128,340 $256,680

OH 2 $150,000 $150,000 $300,000

Mid-America 8 $547,500 $532,500 $1,080,000

AR 1 $75,000 $75,000 $150,000

KS 3 $172,500 $157,500 $330,000

MO 4 $300,000 $300,000 $600,000

MidAtlantic 13 $635,770 $605,770 $1,241,540

PA 13 $635,770 $605,770 $1,241,540

Midwest 23 $1,478,976 $1,463,975 $2,942,951

IA 1 $75,000 $75,000 $150,000

IL 16 $1,033,17619 $1,018,175 $2,051,351

MN 2 $100,800 $100,800 $201,600

WI 4 $270,000 $270,000 $540,000

New England 3 $120,000 $90,000 $210,000

CT 1 $22,500 $7,500 $30,000

MA 1 $22,500 $7,500 $30,000

VT 1 $75,000 $75,000 $150,000

New York State 7 $341,762 $314,262 $656,024

NY 7 $341,762 $314,262 $656,024

Northwest 12 $490,000 $385,000 $875,000

AK 1 $22,500 $7,500 $30,000

ID 2 $97,500 $82,500 $180,000

MT 1 $22,500 $7,500 $30,000

OR 3 $182,500 $182,500 $365,000

WA 5 $165,000 $105,000 $270,000

Rocky Mountain 13 $752,500 $752,500 $1,505,000

CO 6 $305,000 $305,000 $610,000

ND 1 $45,000 $45,000 $90,000

NE 3 $240,000 $240,000 $480,000

SD 1 $22,500 $22,500 $45,000

UT 2 $140,000 $140,000 $280,000

 19 Rounded up to the nearest dollar.
Page 27 of 51

TAAC/State

No. of APs 

Approved

Government

Share of 

Approved 

AP Projects

Firm Share of 

Approved AP 

Projects

Total 

Approved 

AP Projects

Southeastern 8 $334,750 $274,750 $609,500

GA 1 $19,750 $19,750 $39,500

NC 4 $142,500 $97,500 $240,000

SC 2 $97,500 $82,500 $180,000

TN 1 $75,000 $75,000 $150,000

Southwest 8 $495,000 $465,000 $960,000

LA 2 $97,500 $82,500 $180,000

OK 3 $225,000 $225,000 $450,000

TX 3 $172,500 $157,500 $330,000

Western 10 $405,000 $315,000 $720,000

AZ 2 $150,000 $150,000 $300,000

CA 6 $210,000 $150,000 $360,000

NV 2 $45,000 $15,000 $60,000

Total 114 $6,192,998 $5,775,497 $11,968,495

(10) Average duration of benefits received under the program nationally and in each 

region served by an intermediary organization (the TAAC) referred to in section 

253(b)(1) of the Trade Act.

In FY 2013, 145 firms exited the TAAF program after being approved for an AP. 

Nationally, firms receive on average 58 months20 of benefits under the TAAF program.

Exhibit 22: Average Duration of Benefits Received – Firms that Completed Program: 

FY 2013 by TAAC (Region)/Firm

TAAC/Firm Number

Average No. of Months 

TAAC/Firms Received Benefits 

Under TAAF program

Great Lakes 70

GLTAAC-EXT-001 73

GLTAAC-EXT-002 72

GLTAAC-EXT-003 67

GLTAAC-EXT-004 69

GLTAAC-EXT-005 68

Mid-America 53

MamTAAC-EXT-001 35

 20 Prior to 2008, firms were allowed in excess of five years to complete projects, resulting in a longer than 

average duration of benefits. Firms have five years from the date of AP approval to complete their projects. 
Page 28 of 51

TAAC/Firm Number

Average No. of Months 

TAAC/Firms Received Benefits 

Under TAAF program

MamTAAC-EXT-002 33

MamTAAC-EXT-003 71

MamTAAC-EXT-004 29

MamTAAC-EXT-005 70

MamTAAC-EXT-006 76

MamTAAC-EXT-007 64

MamTAAC-EXT-008 74

MamTAAC-EXT-009 38

MamTAAC-EXT-010 64

MamTAAC-EXT-011 65

MamTAAC-EXT-012 45

MamTAAC-EXT-013 30

MidAtlantic 46

MATAAC-EXT-001 28

MATAAC-EXT-002 43

MATAAC-EXT-003 30

MATAAC-EXT-004 74

MATAAC-EXT-005 30

MATAAC-EXT-006 68

Midwest 65

MWTAAC-EXT-001 60

MWTAAC-EXT-002 62

MWTAAC-EXT-003 61

MWTAAC-EXT-004 66

MWTAAC-EXT-005 67

MWTAAC-EXT-006 71

MWTAAC-EXT-007 61

MWTAAC-EXT-008 66

MWTAAC-EXT-009 72

New England 41

NETAAC-EXT-001 70

NETAAC-EXT-002 13

NETAAC-EXT-003 31

NETAAC-EXT-004 37

NETAAC-EXT-005 42

NETAAC-EXT-006 37

NETAAC-EXT-007 46

NETAAC-EXT-008 48

New York State 47

NYSTAAC-EXT-001 43

NYSTAAC-EXT-002 27
Page 29 of 51

TAAC/Firm Number

Average No. of Months 

TAAC/Firms Received Benefits 

Under TAAF program

NYSTAAC-EXT-003 85

NYSTAAC-EXT-004 62

NYSTAAC-EXT-005 40

NYSTAAC-EXT-006 36

NYSTAAC-EXT-007 41

NYSTAAC-EXT-008 25

NYSTAAC-EXT-009 33

NYSTAAC-EXT-010 68

NYSTAAC-EXT-011 39

NYSTAAC-EXT-012 24

NYSTAAC-EXT-013 67

NYSTAAC-EXT-014 72

NYSTAAC-EXT-015 64

NYSTAAC-EXT-016 61

NYSTAAC-EXT-017 41

NYSTAAC-EXT-018 25

Northwest 70

NWTAAC-EXT-001 32

NWTAAC-EXT-002 45

NWTAAC-EXT-003 59

NWTAAC-EXT-004 69

NWTAAC-EXT-005 65

NWTAAC-EXT-006 117

NWTAAC-EXT-007 137

NWTAAC-EXT-008 86

NWTAAC-EXT-009 85

NWTAAC-EXT-010 66

NWTAAC-EXT-011 91

NWTAAC-EXT-012 76

NWTAAC-EXT-013 63

NWTAAC-EXT-014 129

NWTAAC-EXT-015 24

NWTAAC-EXT-016 94

NWTAAC-EXT-017 69

NWTAAC-EXT-018 76

NWTAAC-EXT-019 8

NWTAAC-EXT-020 60

NWTAAC-EXT-021 116

NWTAAC-EXT-022 31

NWTAAC-EXT-023 63
Page 30 of 51

TAAC/Firm Number

Average No. of Months 

TAAC/Firms Received Benefits 

Under TAAF program

NWTAAC-EXT-024 25

NWTAAC-EXT-025 68

NWTAAC-EXT-026 108

NWTAAC-EXT-027 41

Rocky Mountain 65

RMTAAC-EXT-001 81

RMTAAC-EXT-002 70

RMTAAC-EXT-003 36

RMTAAC-EXT-004 62

RMTAAC-EXT-005 81

RMTAAC-EXT-006 40

RMTAAC-EXT-007 83

Southeastern 46

SETAAC-EXT-001 26

SETAAC-EXT-002 51

SETAAC-EXT-003 34

SETAAC-EXT-004 33

SETAAC-EXT-005 33

SETAAC-EXT-006 54

SETAAC-EXT-007 53

SETAAC-EXT-008 62

SETAAC-EXT-009 33

SETAAC-EXT-010 69

SETAAC-EXT-011 46

SETAAC-EXT-012 77

SETAAC-EXT-013 50

SETAAC-EXT-014 53

SETAAC-EXT-015 33

SETAAC-EXT-016 59

SETAAC-EXT-017 36

SETAAC-EXT-018 17

Southwest 59

SWTAAC-EXT-001 61

SWTAAC-EXT-002 76

SWTAAC-EXT-003 64

SWTAAC-EXT-004 56

SWTAAC-EXT-005 55

SWTAAC-EXT-006 56

SWTAAC-EXT-007 53

SWTAAC-EXT-008 58

SWTAAC-EXT-009 72
Page 31 of 51

TAAC/Firm Number

Average No. of Months 

TAAC/Firms Received Benefits 

Under TAAF program

SWTAAC-EXT-010 66

SWTAAC-EXT-011 64

SWTAAC-EXT-012 63

SWTAAC-EXT-013 62

SWTAAC-EXT-014 24

Western 74

WTAAC-EXT-001 74

WTAAC-EXT-002 76

WTAAC-EXT-003 71

Total National Average 58

(11) Sales, employment, and productivity at each firm participating in the TAAF 

program at the time of certification.

As of the end of FY 2013, 882 active firms with combined sales of $13.4 billion and a 

workforce of 76,268 are participating in the TAAF program. A firm that has an approved 

AP, has not completed all projects in their AP, and is still engaged in the TAAF program is 

considered “active.” For the purposes of this report, productivity is defined as net sales per 

employee. Since the certified firms are in various industries, which have a variety of ways to 

measure productivity, sales per employee is utilized as a standardized measure for assessing 

productivity across all firms assisted.

Exhibit 23: Sales, Employment, and Productivity21 at All Firms Participating in the TAAF 

Program in FY 2013 by TAAC and State: 

TAAC/State

Total No. of 

Active Firms 

in FY 2013

Total Sales at 

Certification

Total 

Employment at 

Certification

Total Average 

Productivity

Great Lakes 80 $1,893,089,505 10,537 $179,661

IN 23 $334,340,559 2,742 $121,933

MI 33 $587,318,299 2,529 $232,233

OH 24 $971,430,647 5,266 $184,472

Mid-America 40 $791,767,142 3,446 $229,764

AR 4 $12,141,606 230 $52,790

 21 The total productivity as presented in across TAACs, States and the summary line of Exhibit 24 represents 

the actual total average productivity in FY 2013. This total, derived by calculating the mean horizontally (not 

vertically), is based on raw data and provides the most accurate representation of productivity for all TAACs 

and States. While this figure is provided in the table, it should be noted that calculating total productivity 

vertically introduces additional degrees of error as it represents the average of averages.
Page 32 of 51

TAAC/State

Total No. of 

Active Firms 

in FY 2013

Total Sales at 

Certification

Total 

Employment at 

Certification

Total Average 

Productivity

KS 12 $134,823,421 1,165 $115,728

MO 24 $644,802,115 2,051 $314,384

MidAtlantic 90 $985,545,284 6,272 $157,134

MD 2 $4,400,308 35 $125,723

NJ 8 $38,387,155 306 $125,448

PA 78 $930,216,502 5,750 $161,777

VA 2 $12,541,319 181 $69,289

Midwest 138 $1,698,452,131 10,686 $158,942

IA 3 $115,264,196 483 $238,642

IL 81 $599,316,585 3,651 $164,151

MN 28 $617,852,597 3,863 $159,941

WI 26 $366,018,753 2,689 $136,117

New England 133 $1,055,428,380 6,746 $156,452

CT 18 $109,744,268 871 $125,998

MA 58 $425,284,094 2,656 $160,122

ME 14 $231,695,018 1,259 $184,031

NH 20 $182,952,491 1,001 $182,770

RI 20 $84,135,558 697 $120,711

VT 3 $21,616,951 262 $82,507

New York State 59 $1,166,040,926 4,635 $251,573

NY 59 $1,166,040,926 4,635 $251,573

Northwest 81 $759,763,784 4,883 $155,594

AK 4 $22,740,225 110 $206,729

ID 12 $64,353,983 684 $94,085

MT 9 $48,391,608 364 $132,944

OR 19 $397,163,424 2,130 $186,462

WA 37 $227,114,544 1,595 $142,392

Rocky Mountain 80 $3,000,995,121 12,673 $236,802

CO 34 $1,038,359,230 3,247 $319,790

ND 7 $158,182,209 729 $216,985

NE 8 $55,877,357 479 $116,654

NM 4 $40,663,880 290 $140,220

SD 9 $344,312,065 1,277 $269,626

UT 15 $1,312,670,647 6,334 $207,242

WY 3 $50,929,733 317 $160,662

Southeastern 62 $925,313,008 10,066 $91,925

AL 4 $50,429,005 455 $110,833
Page 33 of 51

TAAC/State

Total No. of 

Active Firms 

in FY 2013

Total Sales at 

Certification

Total 

Employment at 

Certification

Total Average 

Productivity

FL 4 $3,046,275 24 $126,928

GA 11 $40,188,828 515 $78,037

KY 4 $100,053,083 603 $165,926

MS 1 $2,496,868 21 $118,898

NC 22 $466,880,711 6,561 $71,160

SC 11 $193,453,137 1,427 $135,566

TN 5 $68,765,101 460 $149,489

Southwest 84 $410,736,677 3,545 $115,864

LA 20 $120,042,662 554 $216,684

OK 27 $147,686,437 1,515 $97,483

TX 37 $143,007,578 1,476 $96,889

Western 35 $679,505,373 2,779 $244,514

AZ 5 $104,630,508 484 $216,179

CA 26 $545,029,178 2,097 $259,909

HI 2 $23,068,866 126 $183,086

NV 2 $6,776,821 72 $94,123

Total (Nationwide) 882 $13,366,637,331 76,268 $175,25922

(12) Sales, employment, and productivity at each firm upon completion of the program 

and each year for the two-year period following completion.

(13) The number of firms in operation as of the date of this report and the number of 

firms that ceased operations after completing the program in each year during the 

two-year period following completion of the program.

In order to assess the effectiveness of the TAAF program in terms of outcomes, EDA 

assesses the extent to which client firms increased their sales, employment levels, and

productivity following the implementation of TAAF-supported projects (program 

completion). To measure these outcomes, EDA compares average sales, average 

employment and average productivity of all firms completing the program in a particular 

year (the most recent “base year”) to these same measures for the same firms one and two 

years following program completion. The base year used for this report is FY 2011, as this 

allows EDA to compare these measures looking back both one and two years from the date 

of this report.

 22 The total productivity as presented in across TAACs, States and the summary line of Exhibit 24 represents 

the actual total average productivity in FY 2013. This total, derived by calculating the mean horizontally (not 

vertically), is based on raw data and provides the most accurate representation of productivity for all TAACs 

and States. While this figure is provided in the table, it should be noted that calculating total productivity 

vertically introduces additional degrees of error as it represents the average of averages.
Page 34 of 51

Following completion of assistance from the TAAF program, firms reported that from the 

time of certification for TAAF to completion, on average, sales increased by 85 percent, 

employment increased by 43 percent, and productivity increased by 29 percent. At 

completion of the TAAF program (FY 2011) average sales were $21.9 million, average 

employment was 136 and average sales per employee (productivity) were $161,604. 

One year after completing the program (FY 2012), these same firms reported that average 

sales, employment and productivity continued to grow. Average sales increased by 12.8 

percent, average employment increased by 0.7 percent, and average productivity increased by 

12 percent. By comparison to similar non-assisted firms, the U.S. Bureau of Labor Statistics 

(BLS) reports that, in FY 2012, the national manufacturing industry in aggregate experienced 

an average employment increase of 1.4 percent and average productivity increase of 1.3 

percent from FY 2011. 

Two years after completing the program (FY 2013), these same firms reported continued 

growth in sales, employment and productivity. Average sales increased by 20.3 percent, 

average employment increased by 6.6 percent, and average productivity increased by 12.8 

percent. Meanwhile, BLS reported that the manufacturing industry in FY 2013 experienced 

an average employment increase of 0.4 percent and average productivity increase of 3.6 

percent from FY 2011. 

Two years after the completion of assistance from the TAAF program, these same firms 

reported that from the time of certification in the program, on average, sales increased by 

122.3 percent, employment increased by 52.6 percent, and productivity increased by 45.6 

percent.

Therefore, firms assisted by the TAAF program performed more successfully than the 

manufacturing industry as a whole. Firms that completed the TAAF program in FY 2011 

experienced significant growth in sales, employment and productivity from the time of initial 

certification to a period of two years post competition, representing a solid return on federal 

investment and a successful public-private partnership. 

Additionally, all firms that completed the TAAF program in FY 2011 were in operation as of 

the end of FY 2013, indicating strong survival rates for TAAF-assisted firms in the face of 

import pressures.

For the purposes of this report, data are reported only for firms where all data were 

available. Since the certified firms are in various industries, which have a variety of ways to 

measure productivity, sales per employee was chosen as the productivity measure. This 

measure is used because it can be generally applied to all certified firms. 
Page 35 of 51

Exhibit 24: Summary of Average Sales, Employment, and Productivity at Firms at 

Certification, upon Completion of the Program and the One-Year and Two-Year Period 

Following Completion.

Certification 

(Firms that 

completed in 

FY 2011)

Completion 

(FY 2011)

1st Year 

Following 

Completion 

(FY 2012)

2nd Year 

Following 

Completion 

(FY 2013)

% Change 

Certification 

to 

Completion 

% Change 

1st Year 

after 

Completion

% Change 

2nd Year 

after 

Completion

Average 

Sales $11,894,273 $21,978,117 $24,789,368 $26,441,473 84.8% 12.8% 20.3%

Average 

Employment 95 136 137 145 43.2% 0.7% 6.6%

Average 

Productivity $125,203 $161,604 $180,944 $182,355 29.1% 12.0% 12.8%
Page 36 of 51

Exhibit 25: Sales, Employment, and Productivity at Each Firm at Certification, Completion of the Program and two-year Period 

Following Completion.

Firm ID

Average 

Sales at 

Certification 

Average 

Sales at 

Completion 

(FY 2011)

Average 

Sales

1st Yr. 

Following 

Completion 

(FY 2012)

Average 

Sales

2nd Yr. 

Following 

Completion 

(FY 2013)

Average 

Employment 

at 

Certification

Average 

Employment 

at 

Completion 

(FY 2011)

Average 

Employment 

1st Yr. 

Following 

Completion 

(FY 2012)

Average 

Employment 

2nd Yr. 

Following 

Completion 

(FY 2013)

Average 

Productivity 

at 

Certification

Average 

Productivity 

at 

Completion 

(FY 2011)

Average 

Productivity

1st Yr. 

Following 

Completion 

(FY 2012)

Average 

Productivity

2nd Yr. 

Following 

Completion 

(FY 2013)

GLTAACCMP-001 $32,016,995 $49,000,000 $49,000,000 $62,800,000 116 89 99 102 $276,009 $550,562 $494,949 $615,686

GLTAACCMP-002 $8,563,705 $6,700,000 $7,000,000 $6,000,000 62 42 41 37 $138,124 $159,524 $170,732 $162,162

GLTAACCMP-003 $67,900,000 $88,810,000 $97,000,000 $127,000,000 525 499 575 650 $129,333 $177,976 $168,696 $195,385

GLTAACCMP-004 $19,627,487 $7,000,000 $11,559,000 $9,141,000 145 100 101 85 $135,362 $70,000 $114,446 $107,541

MamTAAC

-CMP-001 $15,392,000 $35,670,000 $37,676,017 $37,676,009 58 90 89 60 $265,379 $396,333 $423,326 $627,933

MWTAACCMP-001 $2,099,361 $2,500,000 $2,500,000 $2,450,000 17 20 20 22 $123,492 $125,000 $125,000 $111,364

MWTAACCMP-002 $4,106,238 $5,745,896 $5,745,896 $6,000,000 25 31 31 50 $164,250 $185,351 $185,351 $120,000

MWTAACCMP-003 $490,838 $550,000 $550,000 $670,000 7 6 6 6 $70,120 $91,667 $91,667 $111,667

MWTAACCMP-004 $8,640,745 $6,212,270 $6,212,270 $7,372,000 63 64 64 65 $137,155 $97,067 $97,067 $113,415

MWTAACCMP-005 $678,631 $650,000 $650,000 $600,000 9 8 8 8 $75,403 $81,250 $81,250 $75,000

MWTAACCMP-006 $3,537,246 $3,500,000 $3,500,000 $4,500,000 18 18 18 21 $196,514 $194,444 $194,444 $214,286

MWTAACCMP-007 $7,986,187 $7,800,000 $7,800,000 $7,700,000 76 84 84 65 $105,081 $92,857 $92,857 $118,462

MWTAACCMP-008 $6,669,681 $10,216,000 $10,216,000 $13,700,000 55 60 60 190 $121,267 $170,267 $170,267 $72,105

NETAACCMP-001 $3,374,409 $3,260,546 $3,775,471 $3,385,880 17 21 23 18 $198,495 $155,264 $164,151 $188,104

NETAACCMP-002 $34,750,000 $40,060,000 $38,481,000 $28,683,000 341 379 408 346 $101,906 $105,699 $94,316 $82,899

NETAACCMP-004 $1,049,755 $1,496,947 $1,634,966 $1,873,998 111 112 117 132 $9,457 $13,366 $13,974 $14,197

NYSTAAC

-CMP-001 $2,300,000 $2,650,000 $2,800,000 $2,000,000 29 30 30 20 $79,310 $88,333 $93,333 $100,000

NYSTAAC

-CMP-002 $17,905,792 $27,000,000 $25,000,000 $25,600,000 114 114 110 111 $157,068 $236,842 $227,273 $230,631

NYSTAAC

-CMP-003 $4,746,000 $4,900,000 $4,805,616 $4,900,000 56 32 32 32 $84,750 $153,125 $150,176 $153,125
Page 37 of 51

Firm ID

Average 

Sales at 

Certification 

Average 

Sales at 

Completion 

(FY 2011)

Average 

Sales

1st Yr. 

Following 

Completion 

(FY 2012)

Average 

Sales

2nd Yr. 

Following 

Completion 

(FY 2013)

Average 

Employment 

at 

Certification

Average 

Employment 

at 

Completion 

(FY 2011)

Average 

Employment 

1st Yr. 

Following 

Completion 

(FY 2012)

Average 

Employment 

2nd Yr. 

Following 

Completion 

(FY 2013)

Average 

Productivity 

at 

Certification

Average 

Productivity 

at 

Completion 

(FY 2011)

Average 

Productivity

1st Yr. 

Following 

Completion 

(FY 2012)

Average 

Productivity

2nd Yr. 

Following 

Completion 

(FY 2013)

NYSTAAC

-CMP-004 $10,195,036 $8,511,000 $7,475,000 $8,500,000 47 47 46 60 $216,916 $181,085 $162,500 $141,667

NYSTAAC

-CMP-005 $1,727,518 $3,500,000 $6,174,658 $7,794,433 18 40 55 60 $95,973 $87,500 $112,267 $129,907

NYSTAAC

-CMP-006 $195,253 $500,000 $529,152 $530,000 2 2 2 2 $97,627 $250,000 $264,576 $265,000

NYSTAAC

-CMP-007 $13,092,933 $13,100,000 $13,925,787 $15,156,345 128 132 135 138 $102,289 $99,242 $103,154 $109,829

NYSTAAC

-CMP-008 $39,632,756 $257,007,000 $334,413,000 $341,573,000 486 1,350 1,400 1,400 $81,549 $190,376 $238,866 $243,981

NYSTAAC

-CMP-009 $10,242,329 $8,500,000 $9,500,000 $10,000,000 36 44 35 32 $284,509 $193,182 $271,429 $312,500

NWTAACCMP-001 $12,076,000 $29,000,000 $30,500,000 $24,061,148 99 369 250 300 $121,980 $78,591 $122,000 $80,204

NWTAACCMP-002 $8,233,000 $12,000,000 $3,486,561 $4,800,000 71 70 46 90 $115,958 $171,429 $75,795 $53,333

NWTAACCMP-004 $19,923,000 $21,628,000 $26,300,000 $35,941,184 95 132 155 183 $209,716 $163,848 $169,677 $196,400

NWTAACCMP-005 $166,000 $663,000 $830,000 $920,000 2 2 3 5 $83,000 $331,500 $276,667 $184,000

RMTAACCMP-001 $1,214,777 $6,724,111 $6,611,923 $6,800,000 18 41 40 38 $67,488 $164,003 $165,298 $178,947

RMTAACCMP-002 $2,569,592 $2,372,858 $4,536,383 $4,960,000 19 22 44 45 $135,242 $107,857 $103,100 $110,222

RMTAACCMP-004 $2,462,464 $2,487,350 $1,751,358 $2,709,817 38 26 17 19 $64,802 $95,667 $103,021 $142,622

RMTAACCMP-005 $217,596 $193,423 $161,534 $184,454 3 3 3 2 $72,532 $64,474 $53,845 $92,227

RMTAACCMP-006 $2,654,498 $1,457,710 $1,419,780 $1,603,955 14 14 11 10 $189,607 $104,122 $129,071 $160,396

RMTAACCMP-007 $76,087,451 $156,126,000 $167,457,000 $174,797,000 594 997 987 1,040 $128,093 $156,596 $169,663 $168,074

WTAACCMP-001 $5,332,000 $3,653,900 $5,500,000 $6,500,000 45 32 43 45 $118,489 $114,184 $127,907 $144,444

WTAACCMP-002 $2,514,601 $3,452,422 $4,474,571 $4,329,750 25 26 29 30 $100,584 $132,785 $154,296 $144,325

WTAACCMP-003 $1,610,515 $570,000 $1,043,050 $1,563,000 15 6 7 9 $107,368 $95,000 $149,007 $173,667

Total 

Average $11,894,273 $21,978,117 $24,789,368 $26,441,473 95 136 137 145 $125,203 $161,604 $180,944 $182,355
Page 38 of 51

(14) The financial assistance received by each firm participating in the program.

(15) The financial contribution made by each firm participating in the program.

In FY 2013, firms received $9.7 million in technical assistance provided by the TAACs to 

prepare petitions and to develop and implement APs (often through business consultants and 

other experts). Firms participating in the program contributed $6.2 million towards the 

development and implementation of APs. Funds are not provided directly to firms; instead, 

EDA funds the TAACs and TAACs pay a portion of the cost to secure specialized business 

consultants.

Exhibit 26: Summary of TAAF program Financial Assistance to Firms by TAAC: 

FY 2013

TAAC

Total TAAC 

Assistance to 

Firms23

Financial 

Contribution by 

the Firms

Great Lakes $871,065 $522,787

Mid-America $815,331 $703,210

MidAtlantic $1,070,308 $834,257

Midwest $1,418,687 $1,058,531

New England $785,512 $721,584

New York State $566,493 $396,086

Northwest $1,026,144 $454,994

Rocky Mountain $982,434 $470,901

Southeastern $751,203 $398,354

Southwest $678,145 $421,274

Western $737,789 $199,810

Total $9,703,111 $6,181,788

(16) The types of technical assistance included in the business recovery plans of firms 

participating in the program.

In FY 2013, firms proposed various types of projects in their APs. Marketing/sales projects 

are geared toward increasing revenue, whereas production/manufacturing projects tend to be 

geared toward cutting costs. Support system projects can provide a competitive advantage by 

either cutting costs or creating new sales channels. Management and financial projects are 

designed to improve management’s decision making ability and business control. Over half 

of all firms proposed to implement a marketing/sales project or production/engineering 

project in their APs. Sample projects are listed below in Exhibit 27.

 23 This does not include the amount expended by the TAACs for outreach to potential new firms.
Page 39 of 51

Exhibit 27: Characteristics of Technical Assistance in APs: FY 2013

Project 

Classification Sample Types of Projects

Number of

AP Projects24

AP Project 

Costs

Financial

• Accounting systems upgrade

• Cost control tracking system

• Automatic Data Processing 

development 16 $316,500

Management

• Strategic business planning

• Succession management

• Management development 23 $442,000

Marketing/Sales

• Sales process training

• Market expansion and feasibility

• Web site design and upgrade 152 $4,657,290

Production

• Lean manufacturing and certification

• New product development

• Production and warehouse automation 94 $3,396,150

Support Systems

• Enterprise Resource Planning

• Management Information Systems 

upgrades

• Computer Aided Design software

• Supply chain management software 89 $3,156,555

Exhibit 28: APs by Project Classification: FY 2013

 24 A firm may have up to five projects in an approved AP. 
Page 40 of 51

(17) The number of firms leaving the program before completing the project or 

projects in their business recovery plans and the reason the project or projects 

were not completed.

In FY 2013, of the 128 firms that left the TAAF program, 88 completed the program, with 37

of the 88 completing an achievable number of the planned projects in the five year project 

period allotted. The remaining 40 firms left for the reasons listed below in Exhibit 29.

Exhibit 29: Summary of Firms Leaving the TAAF program: FY 2013

Reason for Leaving Program Number of Firms

Completed TAAF Program 51

Completed achievable number of projects within 5 year limit 37

Firm failed to submit AP within 2 years of TAAF certification 12

Firm inactive/lost interest in TAAF Program 12

Time in program expired 7

Company sold 6

Out of Business 2

Owner Retired 1

Total 128
Page 41 of 51

(18) The total amount expended by all intermediary organizations referred to in 

Section 253(b)(1) and by each organization to administer the program.

On May 11, 2012, the OIG presented EDA with a copy of their letter to the House and Senate 

Committees on Appropriations reporting their findings related to an examination of the 

TAAC administrative costs25. As part of their review, OIG obtained expenditure data from a 

sample of three TAACs – Western, New England, and New York State – focusing on the use 

of Federal funds provided by EDA. The OIG reported that it “did not determine that the 

level of administrative costs of the three TAACs to be unreasonable.”

Indirect Costs, referred to as facilities and administrative (F&A) costs, include space rent and 

utilities, telephone, postage, printing, and other administrative costs. University-affiliated 

TAACs have indirect cost rate (ICR) agreements that cannot exceed the current rate 

negotiated with their cognizant Federal agency (non EDA/DOC). These costs are captured 

on the indirect cost line item on the Application for Federal Assistance, SF-424 (Form SF424). Non-profit TAACs do not have ICR agreements; instead, they categorize similar 

expenditures in their “Other” line item of their Form SF-424. 

Exhibit 30: Summary of Expenditures by TAAC Across Budget Categories: FY 2013

TAAC

Personnel 

(including 

Fringe 

Benefits)

Contracts

(Federal 

Share) Travel

Equipment 

and 

Supplies Other

Indirect 

Costs26

Total TAAC 

Expenditures

Great Lakes $448,435 $540,455 $12,910 $6,661 $7,884 $264,188 $1,280,533

Mid-America $428,940 $688,387 $18,132 $3,192 $54,512 $278,458 $1,471,621

MidAtlantic $456,081 $840,018 $13,738 $6,366 $161,547 $0 $1,477,750

Midwest $705,588 $1,179,260 $14,178 $11,625 $146,255 $0 $2,056,906

New England $309,773 $702,353 $5,055 $10,631 $64,279 $0 $1,092,091

New York State $374,566 $408,300 $2,849 $6,236 $60,013 $80,278 $932,242

Northwest $487,703 $536,449 $15,762 $6,150 $183,709 $0 $1,229,773

Rocky Mountain $590,789 $485,342 $5,575 $11,308 $84,202 $160,752 $1,337,968

Southeastern $422,450 $459,994 $18,384 $6,267 $0 $302,717 $1,209,812

Southwest $556,948 $463,237 $16,254 $16,141 $9,938 $123,277 $1,185,795

Western $423,535 $406,089 $15,623 $2,935 $41,521 $282,268 $1,171,971

Total $5,204,808 $6,709,884 $138,460 $87,512 $813,860 $1,491,938 $14,446,462

 25 The information was requested in the House Committee Report that accompanied the FY 2013 Commerce, 

Justice, Science, and Related Agencies Appropriations bill. See http://www.oig.doc.gov/Pages/Letters-toCongress-re-Administrative-Costs-of-Trade-Adjustment-Assistance-Centers-2011.05.11.aspx 26 Non-profit TAACs do not have ICR agreements; instead, they categorize similar expenditures in their 

“Other” line item of their Form SF-424.
Page 42 of 51

(19) The total amount expended by intermediary organizations to provide technical 

assistance to firms under the program nationally and in each region served by 

such an organization

In FY 2013, TAACs expended $10.6 million in technical assistance provided to the firms in 

outreach to firms, to prepare petitions, and to develop and implement APs (often through 

business consultants and other experts). Funds are not provided directly to firms; instead, 

EDA funds the TAACs and TAACs pay a cost-shared proportion of the cost to secure 

specialized business consultants.

Exhibit 31: Summary of Expenditures - Technical Assistance to Firms by TAAC: FY 2013

TAAC

TAAC 

Expenditure -

Outreach

TAAC 

Expenditures -

Petitions

TAAC 

Expenditures -

APs

Total TAAC 

Expenditures

Great Lakes $208,543 $345,108 $525,957 $1,079,608

Mid-America $23,088 $82,822 $732,509 $838,419

MidAtlantic $57,268 840,018 230,290 $1,127,576

Midwest $166,687 $239,429 $1,179,258 $1,585,374

New England $32,127 $83,159 $702,353 $817,639

New York State $22,112 $158,193 $408,300 $588,605

Northwest $79,755 $489,696 $536,448 $1,105,899

Rocky Mountain $56,704 $497,092 $485,342 $1,039,138

Southeastern $144,276 $291,208 $459,995 $895,479

Southwest $17,875 $229,362 $448,783 $696,020

Western $56,357 $266,890 $470,899 $794,146

Total $864,792 $3,522,977 $6,180,134 $10,567,903
Page 43 of 51

“Addressing the challenges facing America’s manufacturing sector is absolutely essential 

both for our ability to employ skilled workers as well as for our ability to maintain our 

competitive edge in the world economy.”27

Conclusion

EDA’s TAAF program produces strong results:

• From the time of certification to program completion, firms reported sales increased by 

85 percent, employment increased by 43 percent, and productivity increased by 29 

percent. 

• One year after completing the program, firms reported that sales increased by 12.8 

percent, average employment increased by 0.7 percent, and average productivity 

increased by 12 percent. By comparison to non-assisted similar firms, the U.S. Bureau 

of Labor Statistics (BLS) reports that, in FY 2012, the national manufacturing industry 

in aggregate experienced an average employment increase of 1.4 percent and average 

productivity increase of 1.3 percent from FY 2011.

 

• Two years after completing the program, firms reported that sales increased by 20.3 

percent, average employment increased by 6.6 percent, and average productivity 

increased by 12.8 percent. Meanwhile, BLS reported that the manufacturing industry in 

FY 2013 experienced an average employment increase of 0.4 percent and average 

productivity increase of 3.6 percent from FY 2011.

 

• Two years after the completion of assistance from the TAAF program, these same firms 

reported that from the time of certification in the program, on average, sales increased 

by 122.3 percent, employment increased by 52.6 percent, and productivity increased by 

45.6 percent.

• All firms that completed the TAAF program in FY 2011 were in operation as of the end 

of FY 2013, indicating strong survival rates for TAAF-assisted firms in the face of 

import pressures. 

 27 U.S. Secretary of Commerce Penny Pritzker’s testimony on Strengthening Innovation and Manufacturing for 

a 21st Century Economy, November 13, 2013.
Page 44 of 51

Supplement

Examples of TAAF Program Benefits to Manufacturing Firms

As can be seen in the examples provided, the TAAF service model enables long-term 

engagements, delivers comprehensive assistance, provides great flexibility in the nature, 

timing, and staffing of business improvement projects, and can be agile and responsive, 

leveraging opportunities and modifying priorities. TAACs work with firms with an 

understanding of their unique circumstances integrated into and supporting their competitive 

strengths, not just trying to remedy their internal weaknesses. All of these qualities drive the 

program’s effectiveness in successfully assisting small distressed firms.

Great Lakes Trade Adjustment Assistance Center (GLTAAC)

A 50-year-old Indiana investment casting company was losing significant business to China 

and Korea, as several long-time customers moved some or all of their orders to foundries 

overseas. The firm learned about TAAF in late 2009 and was certified into the program in 

2010. GLTAAC managed the development of an Adjustment Proposal (AP), working with 

the firm to develop business recovery strategies to facilitate improvements throughout the 

firm. The firm promptly began implementing the plan; and to date has completed three 

TAAF projects. These projects all focused on capacity-building within the firm –

formalizing internal policies, improving its HR function, revamping its job costing, and 

training employees. With that groundwork done, the company has moved on to a truly 

transformative initiative. It is currently engaged in an Enterprise Resource Planning (ERP) 

implementation and next year will maximize this system’s impact by extending it throughout 

the foundry’s production operations. This effort will significantly reduce costs, improve 

productivity and facilitate new sales. GLTAAC will help with the front-end of the process,

designing and implementing the new Information Technology (IT systems) needed in the 

foundry. Results from the TAAF projects completed to date have been impressive. The 

company is profitable again and both domestic and export sales and have grown – as has 

employment. In 2012, sales were almost $30 million and employment was over 300. This 

firm will complete the program next year, at which time it will be well positioned to once 

again successfully compete in the global marketplace.

An Ohio injection molding firm credits the unique flexible structure of the TAAF program as 

being key to their success. After being certified for TAAF and developing an AP, the firm 

was about to start its first project through the program – a major market research, strategic

planning, and tactical plan development effort – when another company asked the molder to 

partner with them to build a new line of proprietary products. This was completely 

unexpected and no provisions had been made in the AP to assist with the endeavor. 

Nevertheless, the molder believed the opportunity had the potential to transform the 

company, speed its recovery, and greatly improve its long-term viability. Therefore, the 

TAAF project was postponed so the firm could focus all of its efforts on the new product 

line. While the development of the new product line was successful, the core business was 

still floundering, and the company as a whole remained troubled. In 2010, the company 

shifted its energies to improving the core business through TAAF assistance identified in 

their AP. Over the next 3 years, the firm completed several projects, including the 
Page 45 of 51

development of a new website and the selection of an ERP system. Thanks to TAAF and 

large amount deal of hard work by the firm, they are now stabilized and growing, with sales 

at an all-time high, and productivity well above pre-program levels. The firm now employs 

about 135 workers has annual sales of over $33 million.

Mid-America Trade Adjustment Assistance Center (MamTAAC)

A 30-year-old Arkansas manufacturer has received TAAF assistance since 2010. The firm 

produces cut-and-sew and related products, supplying the automotive industry with stitched 

accessories and production parts; the consumer market with nursing pillows, reusable 

diapers, heated motorcycle jackets and uniform shirts; and, in a new diversification, cargo 

bags for NASA. Several years ago, the company began losing sales to low-cost, lowerquality overseas manufacturers and had difficulty competing for new opportunities. As a 

result of consistent outreach efforts by MamTAAC and after overcoming the firm’s initial 

resistance to become involved with a “government program,” the firm began a multi-year 

effort to update obsolete business software, mount an associate training program and update 

their website for e-commerce. The president of the firm estimates that the company grew 

from about 150 to about 300 associates in the time they have worked with MamTAAC, and 

are continuing to grow, stating “We would not have this opportunity without the cost 

reductions enabled by the TAAF program.”

A Kansas scale and bagging equipment manufacturer has been receiving assistance from 

MamTAAC since 2010. Initially the firm began as a parts supplier and over the years 

evolved into making sophisticated gross and net weight bagging scales; automatic bag 

hangers, bag closing and positioning and transfer conveyors; manual, automatic or semiautomatic palletizing equipment; and portable bagging. When foreign competition began to 

erode their market share, the company president met with a TAAC project manager and 

determined that the firm qualified for the program. With TAAF funds, the firm has 

implemented a broad array of projects including market research, trade show display

materials and representation, and software upgrades. Currently, the firm is embarking on a 

new website with e-commerce capability. According to the company’s general manager, 

securing the funds to properly market their products at trade shows opened doors helped to

increase requests for quotes. “But the biggest project in my book was being able to assess our 

processes,” he says, adding that while it is too soon to place a dollar amount on these 

improvements, he expects them to be significant.

MidAtlantic Trade Adjustment Assistance Center (MATAAC)

A Pennsylvania manufacturer of precision-machined pressure vessels, reactors, casks, and 

heavy walled components was in its fourth year of sales decline when it entered the TAAF 

program. Highly specialized machining, welding and fabrication are standard for makers of 

containers used in the transportation of spent nuclear fuel. Sales volume and employment 

were cut in half just three years prior to certification. The company implemented projects in 

the following areas that have helped them become more competitive and expand into new 

markets: As a direct consequence of engaging a marketing consultant, the firm gained entry 

into the petrochemical and other new markets resulting in over $23 million in new sales; 

additionally, an outdated ERP (Enterprise Resource Planning) system was upgraded, helping 

the company to improve its control over its costs while improving productivity. Results 
Page 46 of 51

since entry into TAAF are impressive: Sales have grown from $16.8 million to $63 million. 

Productivity has increased more than 128 percent. Employment increased from 153 to 250 –

more than 60 percent growth. Profits have grown from a $4.3 million dollar loss to a $5 

million gain and ROHC (return on human capital) grew from ($27,700) to $20,000.

In Virginia a cryogenics equipment manufacturer was in its third year of decline when it 

entered the program. This was initiated when its major customer switched to Asian imports. 

More than 20 percent of its employees were let go as a direct consequence. The company’s 

solution included the implementation of ISO certification funded by a cost-shared $30,000 

technical assistance grant through TAAF. Since entry in the TAAF program, sales have 

improved by more than 158 percent, employment has grown 78 percent and profits have 

increased by 36 percent.

Midwest Trade Adjustment Assistance Center (MWTAAC)

An Illinois manufacturer of precision-machined metal parts used in the aviation, medical, and 

energy markets was experiencing increased competition from both European and Asian 

suppliers. Several key customers moved their purchases to overseas providers to take 

advantage of lower prices, resulting in a 48 percent decline in sales for the firm and forcing 

the firm to lay off workers. The company was certified into the TAAF program in July 2009. 

The manufacturer was able to enhance marketing tools with two projects, one in 2009 and the 

second in 2013 that helped attract new domestic and international customers. In addition, the 

firm was able to cost-share ISO certification in 2010, and new design and manufacturing 

software in 2012, which improved its efficiency and lowered its costs. As a result of utilizing 

the TAAF program, the manufacturer’s sales have increased 33 percent and employment has 

increased 17 percent in four years

A Wisconsin manufacturer of custom metal enclosures faced declines due to import 

competition. The company investigated the TAAF program in 2009 after having a very 

challenging year. In 2009, the company had over 90 percent of their sales coming from one 

customer. When the recession hit, that one customer suffered, and so did company sales. 

The economic climate of 2010 was even more of a challenge and at one point, employment 

had declined from 18 to 7 workers. The company knew that they needed to diversify their 

customer base, but achieving that reality was a challenge. The firm used the TAAF program 

to: upgrade their CAD software which helped them to better communicate their ideas to 

customers; cost-share the development of a new website, which has doubled internet traffic; 

and design work on vehicle graphics, enabling the firm to communicate their brand image to 

customers. Future projects include an inventory control system and updating their accounting 

system. These measures are helping the firm become better at tracking data, controlling 

costs, and ultimately to become more competitive. Today the company has 21 employees and 

anticipates hiring another one or two in the near future. The firm’s sales are up about 40

percent from where they were when they first engaged with the TAAF program. According 

to the company’s Vice President and General Manager, “The TAA program was presented as 

a way to inject some life-blood into our business, and it has done just that. This program has 

been a God-send in that it has helped us to do things that would have otherwise been deferred 

due to the associated cost. I can confidently say that we are a much stronger, robust, and 
Page 47 of 51

polished business because of the activities we were able to implement through the TAAF

program.”

New England Trade Adjustment Assistance Center (NETAAC)

A Connecticut metal finishing firm, the largest full-service metal finisher in the Northeast, 

experienced a significant decline in sales due to increased foreign competition and a 

shrinking domestic market. In 2010, the firm was certified for TAAF, and with the 

assistance of NETAAC, prepared an AP to fund projects such as leadership training, a new 

website, upgraded marketing materials, establish lean manufacturing, and NADCAP, a 

critical certification that could potentially open many new markets for the firm. After 

merging with another local Connecticut firm, they are now able to service a much larger 

market providing full-service metal finishing services. As a result of TAAF-funded technical 

assistance, the firm has become stronger and more competitive, increasing sales by 20 

percent and adding 20 more jobs. 

A New Hampshire hardwood lumber and flooring manufacturer that promotes sustainable 

forestry practices was adversely affected by growing foreign market competition from China 

and Canada. The firm had lost 25 percent of its business due to imports and employment was 

down 15 percent. In 2009, the firm was certified for TAAF and, with the assistance of 

NETAAC, prepared a business recovery plan (AP) to fund projects such as development of a 

strategic business plan, marketing and sales plan, export initiatives through the U.S. 

Commercial Service, MIS upgrades, and a process improvement program. As a result, the 

firm is now focusing on re-shoring efforts and committed to bringing jobs back to America.

New York State Trade Adjustment Assistance Center (NYSTAAC)

A New York state-of-the art custom injection molding and blow molding firm was suffering 

from the adverse effects of foreign competition from China. The firm needed to react to the 

continual loss of market share to foreign competition and did not have a formal strategicbased sales and marketing plan in place, nor did it have the internal expertise to develop one. 

In order to effectively recover from the adverse effects of foreign competition, the firm 

sought technical assistance from NYSTAAC to develop a business recovery plan (AP) that 

included a formal sales and marketing plan and lean manufacturing program. In following 

the plan, the firm was able to increase sales by 12 percent to $25 million, with an outlook for 

approximately 10 percent additional sales growth. This in turn has resulted in the firm 

planning to add 50 new employees and double manufacturing space to 125,000 square feet in 

the next three years. 

A New York manufacturer of metal stamped machine parts sought technical assistance from 

NYSTAAC to develop a business recovery plan (AP) to address the adverse effects of 

customers outsourcing parts manufacturing to China. The firm reached out to the 

NYSTAAC and was certified eligible for TAAF in 2011. The AP addressed the most critical 

need of developing a website as a means to better market the firm’s precision manufacturing 

capabilities. This project has been very successful in increasing the firm’s visibility, even 

among current customers who were not aware of the full capabilities of the firm. Since the 

firm was certified for TAAF in 2011, the firm has experienced a 20 percent increase new 

customer quoting.
Page 48 of 51

Northwest Trade Adjustment Assistance Center (NWTAAC)

A Montana manufacturer of high performance laser diode and fiber optic control, test and 

measurement products used in research laboratories, telecommunication, and photonic 

production facilities received TAAF certification in 2005 based on a 74 percent increase in 

imports of these devices from China and Japan. Implementation of TAAF-funded projects 

such as extensive CE product testing, lean manufacturing and training, and sales market 

analysis and development over a five-year period have resulted in firm product expansion 

into European markets and increased penetration into China, Japan, and Korea. As a result of 

NWTAAC assistance and TAAF-funded technical assistance, as of the end of 2011, 

employment has stabilized and sales have increased 48 percent since certification, with 

export sales now comprising 50 percent of total sales, a 22 percent increase since entering the 

program.

A Washington manufacturer of commercial grade baking, pizza and restaurant equipment 

and accessories was certified for TAAF in 2005 based on a 20 percent decline in sales 

resulting from increased imports from China. TAAF-funded technical assistance projects 

have included export expansion, new product development, MIS customization and training 

and website design. The firm adopted the strategy of developing and marketing new unique 

products, increasing production capacity and expanding marketing into Pacific/Asian 

markets. As a result of the TAAF-assisted projects, jobs have been retained, sales since 

certification have increased 176 percent and company product sales into overseas markets 

such as Australia and China have increased 50 percent since entering the program.

Rocky Mountain Trade Adjustment Assistance Center (RMTAAC)

A New Mexico manufacturer of airplane parts for commercial and military aircraft was 

facing stiff competition from lower cost imported airplane parts from Canada, England, 

China, and Japan when the company was certified into the program in late 2009. The 

company was faltering and had lain off nearly 20 percent of its workforce in the two years 

prior to entering the TAAF program. RMTAAC worked with the management team of the 

company to develop a successful adjustment plan that outlined strategic projects to expand 

marketing efforts and improve productivity. Since 2009, RMTAAC has provided nearly 

$42,000 in TAAF assistance to implement lean manufacturing systems to pare down costs 

and improve productivity, as well as customize the firm’s information systems for more 

informed decision making. Marketing efforts were improved by adding a Customer 

Relationship Management module to its IT systems to track sales and better anticipate 

customer needs to build stronger, more profitable customer relationships. While import 

competition remains strong, the technical assistance provided through the TAAF program has 

helped this New Mexico manufacturer make substantial business improvements and add 

valuable, high paying manufacturing jobs to the community. The company has hired 31 new 

employees, a 36 percent increase in employment, since applying for the TAAF Program. 

The company’s sales have increased by nearly $3 million, a 27 percent increase during the 

same time frame. 

A North Dakota manufacturer of commercial furniture entered into the TAAF program after 

suffering a decline in sales of 17 percent and decline in employment of 15 percent in recent 
Page 49 of 51

years. RMTAAC worked with the company to help the company develop and implement a 

plan to return to growth. One of the key issues facing the company was furniture products 

being sold in the U.S. market by Chinese competitors at below their cost to manufacture the 

goods, a so called “dumping” case that was certified by the U.S. International Trade 

Commission. The company qualified for $60,000 in TAAF assistance, to be matched dollar 

for dollar by the company. In the face of this unfair competition, RMTAAC assisted the 

company with a strategic plan to improve its sales and marketing capabilities. By combining 

improved marketing impact with shorter delivery timeframes and superior quality, this 

manufacturer was able to create a product and service package that leveled the playing field 

against the overseas competition. The company has also continued to invest in technology. 

Radio frequency identification (RFID) chips are affixed to each piece of furniture, 

simplifying inventory and spare part procurement for its customers. Since entering into the 

TAAF program, the company has seen sales bounce back, increasing by nearly 47 percent. In 

addition, the company has been able to increase employment by 67 percent, adding nearly 50 

good paying jobs. In September 2013, the company finished a 25,000 square foot addition to 

its production facility.

Southeastern Trade Adjustment Assistance Center (SETAAC)

In business since 1953, a Georgia producer of aluminum extrusion products, primarily for the 

building construction industry, entered the TAAF program in 2007 after suffering the effects 

of a poor U.S. economy and imports from China resulting in an overall reduction of profit 

margins and sales. Between 2006 and 2009 their main business in building construction 

decreased by 40 to 50 percent. The firm knew they had to diversify, address costs, and look 

at efficiencies. According to the company’s Division Manager, “Partnering with SETAAC 

allowed us to bring in consultants who helped us make the changes. The experience with the 

three consulting companies helped us transform from losing millions of dollars in 2008 and 

2009 to now making a lot of money.” The firm completed the program in August 2012, 

completing nine projects and utilizing $75,000 of federal funding provided by TAAF 

program. Projects included Lean Six Sigma training, leadership transformation, and 

executive coaching. In 2011, the company saved $1.5 million, $1.6 million in 2012, and 

projection savings of $1 million in 2013. The firm has also realized an increase in sales of 

over $23 million since certification.

Established in 1924, a North Carolina supplier to the upholstery furniture industry, with its 

core customers located in the North Carolina and southern Virginia, entered the TAAF 

program due to negative sales caused by import pressures, along with the housing economic 

downturn. The loss in revenue forced management to look at innovative options to improve 

their competitiveness. Upon learning about the assistance provided by the TAAF program, 

the firm contacted SETAAC. In June of 2010, the SETAAC team outlined key projects to 

help the firm increase its competitive edge. The firm’s recovery plan focused on process 

improvements, ERP system installation, and marketing enhancements which included 

assistance with the firm’s web site redesign. Following the web site update and 

modifications, annual sales have increased by over $2 million annually and the firm has been 

able to add 9 additional employees. The SETAAC team is still currently working with this 

client who was awarded $75,000 in funding. 
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Southwest Trade Adjustment Assistance Center (SWTAAC)

An Oklahoma manufacturer is a producer of wood shutters catering to both commercial and 

residential markets was facing stiff competition from lower cost imported from China, 

Mexico, Vietnam, Taiwan and Canada, with China is having the greatest negative effect on 

their business. According to the firm “China’s products are of lesser quality and poorer 

design, but much cheaper than American made products.” SWTAAC’s analysis diagnosed 

the firm as requiring assistance in their marketing, manufacturing and support systems areas. 

A combined recommendation of marketing strategy and production efficiency was outlined 

to strengthen the firm’s viability to compete in their industry. Technical assistance for a 

spectrum of sales tools was outlined that would result in increased revenues. The firm also 

warranted technical assistance in finishing product development of a state-of the-art, 

automatic remote wood shutter. This product would give them an advantage over the 

competition. Improvement in the firm’s information and management support systems was 

also warranted. Effective functional information was needed for the company’s real time 

utilization in determining critical decision-making and time management. Marketing 

projects were completed in website enhancement, marketing logistics and sales planning. 

After the firm completed some of the marketing projects, they quickly realized results. Their 

improved website with their improved photos and graphics boosted an increase of clientele 

activity. Sales started to improve. The firm also completed projects in management support 

systems. Consultant experts were engaged to work on the remote controlled shutter. There 

has been advancement on it. The marketing logistics put in place for the firm will help them 

promote and market the shutter. Analysis training on methods that would result in improving 

the efficiency in the areas of administrative and production reports were administered. The 

firm completed its targeted program projects and SWTAAC anticipates a favorable recovery 

rebound for this firm.

A Texas producer of commercial air vents was introduced to SWTAAC in 2012 through a 

referral from a local industrial foundation and was certified for the TAAF the same year. 

The funding played a pivotal role in modernizing their workforce and updating their systems 

to better compete against overseas competitors, specifically Chinese firms. The firm has 

recently completed four projects using TAAF-funded assistance. First, a $60,000 Lean 

implementation project completed after eight months. This project resulted in better trained 

production level employees using a manufacturing system and lower inventory levels on 

finished goods and raw materials, which in turn increased cash to take on new business and 

projects. Second, a production reporting system was completed. This project resulted in

better visibility of daily production in their three facilities, reduction in inventory by avoiding 

over production and more accurate and real time picture of production performance. Third, a 

financial plan to complement their long term strategic plan was implemented. This project 

resulted in better visibility of future cash requirements and better financial planning and 

budgeting to accommodate their growth. Finally, a new direct-to-consumer website was 

completed. This project resulted in access to a new high margin market to sell their product 

directly to consumers and positioning the company to grow a new profitable product line in 

the long term and increased customer feedback that enables the company to be more 

competitive in the overall marketplace.
Page 51 of 51

Western Trade Adjustment Assistance Center (WTAAC)

This Arizona firm is a tribal entity that produces ready-mix concrete, construction 

aggregates, crushed granite landscaping rock and sports field material, and USGA golf 

course sand produced for construction applications. The firm faced increasing foreign 

competition from lower cost import ready-mix concrete products, particularly Mexico. In the 

two years prior to the firm's certification for TAAF in 2010, annual sales decreased 64

percent to $20.3 million and employment decreased 47 percent to 121. The firm’s 

management, with assistance from WTAAC developed a strategy to re-focus its business on 

improvements in energy utilization and operational efficiency while continuing to minimize 

costs in order to position the firm for the construction industry recovery. The firm plans 

include undertaking marketing research to identify new products that utilize available 

resources and materials to broaden their markets to larger geographic areas and provide 

higher margins. The firm, in its second year of the implementation phase of the TAAF 

program, has successfully implemented one information technology project. Since beginning 

its public-private sector partnership with the TAAF program, sales have increased 74 percent 

to $35 million, employment has increased 9 percent to 132 employees and productivity has 

improved 13 percent to $272,000 sales per employee.

A California firm specializing in fully integrated design, analysis, manufacturing and testing 

for new concept products entered the TAAF program in 2008. The firm provides 

entrepreneurial product development, commercial and private aircraft modifications, and 

conceptual aircraft designs for both military and commercial ventures. From 2006 through 

2008 the firm suffered from continued shrinking market share due to increasing low cost 

castings from offshore competitors. As a result, sales decreased 8 percent and employment 

decreased 29 percent during this period. In partnership with WTAAC, the firm’s 

management developed a strategy to position itself as a preferred contract manufacturer of 

choice for the aerospace industry OEM customers. The firm planned to target high 

technology companies that require combined state-of-the-art conceptual design and testing, 

prototype development, and limited production capabilities. The strategy would focus on 

enhancing its marketing and sales capabilities, expanding and enhancing its engineering 

support capabilities, enhancing its production and quality capabilities, and strengthening its 

IT support capabilities. The firm is in its fourth year of the implementation phase of the 

TAAF program, and has successfully implemented three marketing projects. Since beginning 

its public-private sector partnership with the TAAF program, sales have increased 180

percent to $621,000, employment has increased 40 percent to 7 employees and productivity 

has improved 100 percent, to $89,000 sales per employee.