Alternative Trade Adjustment Assistance
Q2.	If a person is receiving ATAA, but finds a better position and quits will they still be able to receive the benefit of ATAA with the next position? (3/3/06)
A.	Yes, if the new position meets the continued eligibly for ATAA. When this occurs the individual must file a new ATAA application. They can obtain an application by calling UI SPU at 518-402-0189 or you can provide one from the interim forms page. From TEGL 02-3, section F Continuing Eligibility - Once approved for the ATAA program, individuals who continue to meet the eligibility criteria are paid ATAA benefits until a total $10,000 in benefits is received for a period of two years has elapsed since the first qualifying reemployment, whichever comes first. Nothing in the statute precludes the individual from working for different employers within the two year period and employment is not required to be consecutive. Basic eligibility for ATAA includes FT employment and not be expected to earn more than $50,000 annually. Full detail on the ATAA program can be found in TEGL 2-03 and 2-03 Change 1.
Q1.	What is the process for eligible appropriately re-employed customers to obtain ATAA benefit. (1/21/05)
A.	All ATAA eligible individuals receive an application with their determination notice. The instruction given with the notice is that when employment is found the individual completes the request and submits with a copy of pay stub from first full week of employment and copy of proof of age. An ATAA application has been added to the interim forms page so that in the event the ATAA eligible affected worker cannot locate their application one may be printed for them.
Health Care Tax Credit
Introducing the Federal Health Coverage Tax Credit  (4/22/08)
Q3.	An article in the Employment and Training Reporter Journal dated October 11, 2004 regarding HCTC indicated that to qualify “an individual must be enrolled in training or have a training waiver, even before the deadline associated with income support.” Does this mean that a waiver must be issued for an individual prior to their 8/16 week deadline for them to be considered eligible for HCTC. (11/16/04)
A.	No. Potential eligible workers for HCTC include those that: 1. Receive a Trade Readjustment Allowance under TAA 2. Are eligible for TRA under TAA but have not exhausted their UI benefits. 3. Receive benefits under the Alternative Trade Adjustment Assistance. The Department automatically forwards the names of TAA affected workers collecting UI to the HCTC program managers. Eligibility beyond the UI benefit eligibility is dependent on the individual actually receiving TRA which occurs when the individual is enrolled in TAA approved training or is waived from training by the 8/16 week deadline.
Q2.	What should I advise a customer who states the IRS has asked for verification of entitlement to TAA/ATAA or UI benefits for HCTC purposes?
A.	Customers should be instructed to call the New York State Department of Labor UI Special Programs Unit at 518-402-0189 for this information. The UI SPU issues all individual eligibility determinations for TAA and ATAA.
Q1.	What is the Health Coverage Tax Credit (HCTC) and what information do we provide to customers who inquire about HCTC?
A.	HCTC is a federal tax credit that pays 65% of the qualified health plan premium for workers who are eligible for certain TAA benefits or are eligible for benefits under the ATAA program. Individuals who qualify can either register for the advance credit to help pay for monthly health plan premiums or receive the credit when they file their yearly federal tax return. For information on HCTC, refer them to the Internal Revenue Service website at http://www.irs.org, keyword: HCTC or they can call the Customer Contact Center at 1-866-628-4282 (7am – 7pm Central time, Monday through Friday). For TDD/TTY callers: 1-866-626-4282.
Job Search and Relocation Allowances
Q2.	Three questions regarding funding for job search and relocation. My questions are in the framework of all criteria for approval having been met. 1) Can car rental to go to interview expense get any coverage? 2) If the person isn't claiming meals and lodging per diem, would that open up funding that could be used for car rental under the "incidental expense" category? 3) Is there a way that the 90% TRA funds can be vouchered directly to the mover for reloaction allowance; or, is reimbursement to claimant the only payment option? (4/14/05)
A.	Allowable costs for job search and relocation allowance are detailed in the TAA regulations at sections 617.34 and 617.45. Regarding cost for transportation for a job search, the cost of the rental car is not a covered expense. The more cost effective mode of transportation reasonably available to the worker should be approved by using either the actual cost of RT travel by the most economical public transportation the individual can be expected to take from the residence to the job search area or the cost per mile at the prevailing mileage rate for the RT travel by the usual route from the residence to the area of job search. The mileage could be paid but not the actual cost of renting the car. Meals and lodging are allowed costs under job search allowance - The rental car is not an allowed cost therefore not claiming them does not allow an individual to have other non-allowed costs reimbursed. Regarding relocation allowances payable for moving the household goods - the mover can be paid directly.
Q1.	Please explain the Job Search/Relocation allowance benefit. (4/14/05)
A.	This benefit is an allowance paid to workers with marketable skills unable to secure suitable employment in the commuting area to attend job interviews and/or relocate to accept suitable employment. Job Search allowance reimburses 90% of the cost up to $1,250. Multiple allowances can be paid but cannot exceed the maximum allowance of $1,250. For example three trips of $300 could be reimbursed. A job search allowance is paid when the individual has secured an interview and travels beyond the commuting area to attend the interview. Documentation for reimbursement should include evidence that no suitable employment is available within the commuting area and that the interview occurred. The desk guide and TA detail specific criteria. If TAA funds are needed to support a Job Search allowance – a request can be made using the request form. Relocation allowance reimburses 90% of the reasonable and necessary expenses to move and a lump sum allowance equivalent to 3 times the worker’s average weekly wage up to $1,250 to help defray the costs of relocation. A relocation allowance may only be paid when there is no reasonable expectation of securing suitable employment within the commuting area and the individual does secure suitable employment elsewhere. An individual may choose to move before they have secured suitable employment or even if they could obtain suitable employment in the commuting area – these individuals are not eligible for the relocation allowance. When the affected worker indicates that they are moving to another state or out of the area and wishes to seek TAA services once moved you should provide the individual with the address of the area where the individual is moving. A relocation allowance is not paid to an individual who moves to attend training outside the commuting area.
OSOS
Q7.	In OSOS, should the petition number be associated with every service, regardless of the funding source? (6/13/05)
A.	Any service that is being paid for by TAA must must be linked to a petition number. TAA funds support training and allowances for job search and relocation. Any service paid for by other funds but is part of the trade affected workers employment plan needs to be linked to a petition number. The petition must be linked to services provided under WIA DW that may have occurred prior to TAA eligibility. For example, a customer is WIA DLW and in training, and subsequently is determined eligible for TAA -- if the WIA funded training fits the TAA employment plan, then the petition number needs to be linked to the WIA funded training that started prior to the TAA enrollment date.
Q6.	Do we have to enter the waiver update as a service in OSOS every time we complete one. That means we will be entering the same service approximately every 3 weeks for what could be a very long time. We have been notating this in Comments up to now. (4/14/05)
A.	Yes, otherwise it will not be counted as a service. The comments screen would be the appropriate place to record the synopsis of the waiver review.
Q5.	Is it mandatory that a person approved for TAA training be enrolled as a dislocated worker under WIA? (4/14/05)
A.	YES, The TA specifically states that individuals unable to secure suitable employment through core services are co-enrolled in WIA Title I dislocated worker services for referral to WIA- funded intensive and Trade – funded training services.
Q4.	In terms of OSOS, what besides comments needs to go in for TAA customers doing assessment, career exploration, job search seminars, etc.? If they were WIA customers, we would enroll them in services but they are not WIA. Does TAA have any specific activities they need to be enrolled in on OSOS or are notations in the comment section sufficient? (4/14/05)
A.	The assessment, career exploration job search seminars listed are at a minimum staff assisted core and could be considered intensive services, and as outlined in TEGL 7-99. Trade affected individuals not able to achieve suitable employment through WIA Title I core services, are co-enrolled. The TA 04-6 OSOS guide provides information on how to enter services. Notations in the comments sections regarding activities are valuable to case management but do not reflect in tabulations of services provided. The March 22, 2005 Webinar titled Recording Information: OSOS Module 1 addressed data elements for TAA and is archived and available on the NYATEP website.
Q3.	For TAA enrollments into OSOS, we need a definition of Enrollment Date as asked for on the Services – Agency Info screen and is this the same as Date of Participation on the TAPR report? (11/16/04)
A.	The enrollment date on the Services - Agency Info screen is the date the customer enrolled with the agency/received a WIA funded service. The enrollment date may not necessarily be the same as the date of participation for the TAPR. The date of participation is the date on which the individual began to receive Trade Act-funded program benefits and/or services. The WIA enrollment date may occur prior to the date of participation for TAA however the TAA participation date could never precede the WIA registration date.
Q2.	When the reason for leaving on the Work History tab has been changed to "dislocated to foreign trade" additional TAA information has to be entered. Will this TAA information be criteria by which we will be able to search for TAA customers or will we have to continue data entering information under Programs?
A.	In order to search for TAA customers using the search function, the TAA program must be added in the Programs and Public Assistance button under the Additional Information Tab in the Customer Detail module. When the Trade Adjustment Assistance program is added in the Programs and Public Assistance button, a search can be executed using TAA program and any other search criteria in the customer search section. When adding the TAA program in the Programs and Public Assistance button a date must be entered for proper functionality. It is recommended that this date be the individuals' date of eligibility.
Q1.	The new TAA procedure calls for the TAA customer to be dual enrolled in WIA & Trade Act. Will the local areas be required to complete the dual enrollment in OSOS for TAA eligible individuals or can they make a notation within the comment screen indicating that the person is enrolled in WIA?
A.	Local Boards must ensure that services to TAA eligible individuals are documented in OSOS. Attachment F to the Technical Advisory 04-6 details the steps necessary to ensure that a TAA customer is dual enrolled in TAA and WIA. Indicating on the comment screen that a person is enrolled in WIA will not reflect a dual enrollment for reporting purposes.
Petitions
Q2.	A company will be closing their doors sometime next year. The production work is being transferred to their headquarters in Japan. USDOL's web site does not identify Japan as being part of the US Free Trade Agreement, but the web site also references eligibility based on other international relationships (i.e., the Andean Trade Preference Act). Should company officials file a TAA petition with USDOL even though it does not appear that Japan is part of the US Free Trade Agreement? (5/9/08)
A.	According to my contact at USDOL, if the product that will be produced in Japan is going to be returned to the United States, a TAA petition should be filed.
Q1.	Where can information regarding a particular petition be found?
A.	Information regarding petitions can be found at the provided link. This link allows the searcher the opportunity to track petition by number, state, and company name and lists recent institutions and determinations. http://www.doleta.gov/tradeact/determinations.cfm
System
Q15.	Do products have to be produced at the site in order for the individuals to be TAA eligible? I have a case where it is a distribution center for products imported from Germany moving part of its operation to Canada. More broadly, aside from what is printed on the back of the form, are there any fine points we need to know about in assisting customers completing this form? (4/15/05)
A.	More detail about the filing process is found at the ETA site where the petition can be downloaded - http://www.doleta.gov/tradeact/petitions.cfm . Part of the group eligibility requirements is that the worker’s company produces a product. In order for the distribution center employees to be determined part of a worker group they would need to be attached to the affected production force. In a situation like this, do not attempt to determine the eligibility prior to submittal and/or influence the submission of a petition.
Q14.	Explain the difference between TRA/TAA (4/15/05)
A.	The Trade Act was intended to increase foreign imports, decrease our balance of trade deficit and provide American consumers with a greater supply of less costly goods. Recognizing that the provisions of the Act would adversely impact American industries and workers, provision was made for adjustment assistance in the form of reemployment services to those workers whose unemployment is linked to increase imports for foreign made products. Adjustment assistance includes counseling, testing, and assessment, development of an employment plan, training, job placement and other supportive services. These benefits and services form the basis of the Trade Adjustment Assistance (TAA) program. Included in these benefits are Trade Readjustment Allowances (TRA), weekly compensation for those individuals enrolled in training or waived from the training requirement.
Q13.	What handout can be given to new TAA customers outlining benefits under TAA? (4/15/05)
A.	The individual determination (722) briefly identifies and defines the benefits available to the individual. Because the benefits are criteria driven – and determined/justified by the development of the employment plan it may not be necessary to produce an alternative/second handout outlining TAA benefits. On an individual basis, as employment plan is developed, the need for the benefits under TAA should be realized and discussed as identified. If the local area wishes to produce a handout – the Department is available to review for accuracy.
Q12.	One observation, is when a Trade Act petition is approved at a company, it would be nice if we along with our Labor Dept, partners, could have the affected workers come in for an TAA Orientation where we could talk with them. We could insure that everyone is getting the same and maybe even correct info. (4/15/05)
A.	A relationship should have already been established with the worker group as a result of providing RR services when the petition was filed. (an exception is when the workers are already laid off at the time the petition is filed – it sometimes can be difficult to locate the workers to provide services) At the time these services are provided it is sufficient to inform the group that if the petition is certified each individual would receive an application for eligibility determination from the New York State DOL, that should be returned promptly, and if determined eligible for TAA the counselors at the one-stop center will best coordinate any TAA benefits available with the services/benefits available to them now as determined by their individual employment plan. Under no circumstances should individuals be encouraged or get the idea that they should wait to proceed with reemployment services until a determination is made regarding the petition or individual eligibility status. The reemployment services available through RR and dislocated worker services should be encouraged so as to be able to provide early intervention and assessment. When a petition is certified, the Department requests a list of the affected workers from the company. When this list is received it is distributed to the local area. This list in addition to any worker lists created through RR will help to identify all potential TAA affected workers and will help in subsequent outreach efforts.
Q11.	What are the essential requirements (i.e., forms, time frames, etc) to guarantee preservation of a person’s TAA benefits? (4/15/05)
A.	Early assessment and the development of the employment plan serves as a means to determine the road map for the service delivery for affected workers. Goal setting, continued assessment, identification of marketable/transferable skills, review of LMI will determine the need for a waiver from training, training, job search or relocation allowances. Basic timelines ATAA – for individuals at least 50 years old covered under an ATAA petition – must secure new FT employment within 26 weeks of the last day of affected employment. The ATAA application is provided to potentially eligible individuals with their entitlement determination. Basic TRA – must be enrolled in training or have received a waiver from the training requirement by the 8/16 week deadline – this deadline is clearly identified as the “Training Enrollment Deadline” on the individual’s determination and should be made part of the employment planning process. A training approval or waiver from training are the appropriate forms used to document potential eligibility for basic TRA. Additional TRA- must have made a bona fide application for training - This date is the initial date that section J titled “Training” of the employment plan was developed. This deadline may pass if a worker has a long- term waiver from training – for example if a worker is issued a waiver 16 weeks after the most recent separation and it remains in effect for the maximum 26 weeks, then a total of 42 weeks (294) days might pass without the worker being required to be enrolled in approved training. If the worker does not have a “bona-fide” application for training during the 210 days they are not eligible for additional TRA. Careful review of each waiver will work to ensure that this deadline is not missed. If the waiver is issued on the basis of marketable skills, the reevaluation at 30 days must take into account why the individual has been unable to obtain employment. If it is determined that there are skill deficiencies then it may be appropriate to revoke the waiver and enroll the worker in training. If it is determined that there are skill deficiencies and the customer will not attend training then a waiver determination should be issued as the individual may not be eligible for basic TRA. Job Search and Relocation- dates are clearly spelled out in desk guide and timeline and guideline attachments to TA.
Q10.	If there is a rather unique situation re: an individual's eligibility who is a contact person in Albany? We have been instructed to ask questions on the web site. As someone else has asked, will we ever have a human contact whom we can e-mail or with whom we might even speak? (4/15/05)
A.	Questions regarding an individuals initial eligibility determination and eligibility for TRA and HCTC can be directed to Special Programs Unit at 518-485-0204. Questions regarding eligibility for training, job search, relocation should be submitted to wdtdtaa@labor.state.ny.us. It is expected that questions of a general nature should be directed to the website address for the Q and A. In the event of a peculiar situation counselors should seek assistance from the local area’s TAA coordinator.
Q9.	If we have lost touch with an individual who initially approached us about training benefits through TAA, but has subsequently not followed through in fulfilling reasonable requests for information and has not kept appointments or telephoned to indicate his intentions, what would you consider constitutes a good faith effort to get in contact with such an individual before suspending efforts to provide benefits under the Trade Act? (11/16/04)
A.	All attempts to contact the individual must be documented in OSOS. A good faith effort to contact a non-responsive customer would include attempts to contact the individual by phone and mail, which may include e-mail. All phone conversations should be documented in the case record and copies of correspondence maintained. If a wavier for the individual has been issued and they fail to report for review then a waiver determination revoking the waiver must be submitted. If the individual had been scheduled for an appointment to develop an employment plan and meet the 8/16 week deadline for TRA and routinely fails to report prior to the deadline a waiver determination must be submitted indicating that the waiver cannot be issued because the individual was not enrolled in approved training or had the requirement from training waived by the 8/16 week deadline. The waiver determination will give notice to the individual that their eligibility for TRA is jeopardized.
Q8.	What is the role of Special Program Unit (SPU) in Albany. (11/16/04)
A.	Determine initial eligibility for TAA and TRA. Determine continued eligibility for TRA and process individual requests for TRA. Determine eligibility for and process ATAA payments. Process appeals for hearings.
Q7.	What is the process for serving an eligible customer who either worked in NYS but lives in another state or vice versa?
A.	When the NY customer moves to another state, the new state of residence becomes the agent state. The agent state then becomes responsible for service delivery and funding any services including approved training. When an affected worker indicates that they are moving to another state and wish to seek services under TAA you should provide the individual the address for the One Stop Center in the vicinity where he/she is moving. Use the service locator at wwwservicelocator.org/. Once the person moves and works with a counselor in the agent state, that state will continue to develop an employment plan and issue waivers if appropriate or a training agreement. All of the relevant information is then sent by the agent state to the NYSDOL TAA Coordinator. The coordinator will review the plan and background information. If the Coordinator (as the NYS representative for training issues dealing with Interstate claims) also approves the waiver or training plan, he/she will send an approval to the customer (to approve the proposed training program), the agent state (to verify NYS approval of the training program), and to UI Special Programs Team (to allow weekly TRA payments to be made by New York [the liable state]). Because the liable state ultimately bears responsibility for final determinations and hearings on decisions, the liable state must also review and make a determination training programs, even though the agent state is providing the funds. In addition, the liable state reviews and makes a determination on waivers. When an affected worker moves to New York State from another state, we are responsible for providing and funding any services as warranted by the employment plan. Because the home state of the individual is ultimately responsible for final determinations and hearings on decisions and the payment of UI and TRA they must also approve any proposed waiver or training plan. If an individual requires a waiver or a training program a determination must be secured from the liable state. Locate the appropriate TAA coordinator from the list at http://www.doleta.gov/tradeact/contacts.cfm. Submit to the liable state’s TAA coordinator any information currently available regarding the individual including the Employment Plan so that they may make an informed decision regarding the waiver or training plan. Provide the actual wavier or training approval for which you are seeking approval. In some instances, the liable state may just sign off on the forms provided and return, in other cases they will issue a waiver or training approval on their respective forms. It is expected that the liable state will issue a determination to the individual and copy you.
Q6.	I know we have discussed dual enrollment issues and know that it needs to be done. However, at what point are districts dual enrolling customers? At the point of first contact? At the point they begin staff assisted CORE activities? Later than that? Also, do we need to dual enroll those who are currently just being worked with on waivers? It is likely that some/many of these will negatively impact performance measures.
A.	It would be important to enroll customers at the core assisted service level for WIA customers as outlined in TEGL 7-99. At the point the individual’s employment status has been identified as impacted due to trade, which should be so noted in OSOS. At the point an individual is issued a waiver from training they must be dual -enrolled in WIA and TAA. The need for a waiver is determined by the individual’s employment plan. The development of the employment plan is considered an intensive service. Because waivers from training are reviewed minimally every 30 days, consistent staff involvement should contribute to a positive outcome.
Q5.	What should a staff person do in the event an individual states that they are part of an affected worker group but never received an application for individual eligibility determination for TAA?
A.	The staff person should provide the individual with the phone number to the NYSDOL UI Special Programs Unit (UI SPU) so that the individual can request an application. UI SPU can be reached at 518-402-0189. The UI SPU tracks when applications are sent to individuals and received and issues all individual eligibility determinations for TAA and TRA.
Q4.	Regarding providing services to potential dislocated workers or trade affected workers during rapid response; how can a local area provide services to "potential" eligible individuals?
A.	A notice filed under the Worker Adjustment and Retraining Notification Act or the filing of a petiton for TAA triggers the provision of Rapid Response services. The services provided under rapid response are at a minimum considered core services. There are no eligibility requirements for unregistered core services.
Q3.	Can current policies regarding service provision to dislocated workers be used for trade affected workers?
A.	Yes, provided that any current policy is not in direct conflict with the services afforded the trade affected worker as prescribed by statute and regulations. However, local areas must ensure that policies and procedures are aligned to best integrate the multiple programs (Wagner-Peyser, WIA Dislocated Worker, Trade Adjustment Assistance) resulting in a seamless delivery of service.
Q2.	Notification re TAA Certification/Eligibility - How will TAA customers, once deemed eligible, routed to the appropriate One Stop? Would it be based on the customer's zip code or the company from which they were released?
A.	Similar to how DoES Local Office Managers are notified currently, local workforce areas will be provided with notification via email of those individuals potentially deemed eligible for Trade Act services. The local area plan modifications should identify the individual or position that will receive this information. Include in the plan the e-mail address for the point of contact.
Q1.	Our WIB is in the process of adjusting the cap on ITAs for both adults and dislocated workers downward to $3,000. The State has established a maximum amount of $10,000 for TAA approved training plans up to 130 weeks and $5,000 for a plan up to 52 weeks. If and when TAA funds are available for training, will the maximum amount be a) the LWIB's $3,000 limit, b) the State's $5,000/10,000 limit, or c) the sum of the two?
A.	The maximum amount for a TAA approved employment plan is the $5,000/$10,000 established and detailed in the Technical Advisory 04-6. This maximum amount is inclusive of all funding regardless of source. Funding availability for training at the time the employment plan is created must be considered. It is not feasible for a local area to fund the first semester of a program, if there are no TAA funds available, in anticipation of having the remainder of the program funded by TAA dollars if/when funds are available. ALL FUNDING MUST BE IDENTIFIED AND AVAILABLE AT THE TIME THE PLAN IS DEVELOPED AND APPROVED
TAA Training
Q34.	Do individuals in training during the summer need to attend 12 hours of classroom training to be eligible to receive income support? (5/1/08)
A.	Yes, individuals in training during summer sessions must still meet the 12 hours of classroom training to be eligible to receive TRA income support.
Q33.	Can Trade Act reimburse a person for a Learner's Permit fee and other related DMV charges like the road test and licensing fees as part of an approved training? (4/22/08)
A.	Yes, Trade Act funds can be used to pay all required fees associated with the TAA-approved training programs. Therefore, we can reimburse an individual the cost of getting the Learner's Permit and other DMV charges because those fees are considered required fees that need to be paid in order to complete training and/or get the job. Think of it this way . . . Can the person get the CDL without first getting the learner's permit to do the over-the-road portion of the training program -- No -- therefore, the learner's permit fee is a required fee. Same with other related DMV charges like the cost for taking the road test and licensing fees -- Can the person get the trucking job without first taking the road test and getting a CDL license -- No -- therefore, those fees are required fees. An example of a non-required fee is parking on campus . . . Can the person get the certificate or degree without paying to park on campus -- Yes -- therefore, parking fees are not considered required fees.
Q32.	What is the mileage rate paid for transportation under TAA? (1/4/07)
A.	The mileage rate is set by the U.S. General Services Administration and changes periodically. Use the link provided to determine the current mileage rate. www.gsa.gov/mileage
Q31.	A customer is in approved training program. The progam will break from 5/13 to September. He is looking for stop gap employment for that time period. At this time we are not anticipating a full time school program to be available for that time period. Question is - can he go back on waivers while job searching? I believe not because he is enrolled in training but would like to confirm. (3/17/06)
A.	This is considered a scheduled break in training and because it exceeds 30 days the individual would not be eligible for TRA during that time. A person cannot be issued a wavier from training while on a scheduled break from training.
Q30.	Regarding classroom training, how is "full time" defined? (2/16/06)
A.	The TAA program uses the UI 599 law definition of full time which is 12 classroom hours per week. Please note that TEGL 9-05 details an expanded definition of classroom training where the training is considered distance learning.
Q29.	Our local community college provides onsite childcare that can be added to their college bill. Can PELL awards be used to pay those childcare expenses, and, if so, must the PELL award first be used towards the tuition, fees, books, etc.? (12/30/05)
A.	Required costs of the training like tuition, fees and books would be covered first using the PELL award. Any remaining PELL award funds are disbursed to the student. The student, at their discretion may use the funds for personal needs.
Q28.	Regarding a student's ability to take out a loan to support personal needs while in a TAA approved training program, can that loan be a student loan? (12/30/05)
A.	Yes. Please see the answer to question 7 under TAA Training
Q27.	If a student gets more TAP and PELL than they need to cover all of their training costs, can they get the excess to use towards living expenses? (12/30/05)
A.	Yes. You can discuss how this works with the training provider's financial aid or Bursars office.
Q26.	I have a client that has started an Accounting Program at the area community college this September. The client is having major difficulties with this program as she is unable to do the math. The client was put in a more basic math & accounting class (this was done by the college professors). It appears that the client may not pass these classes and if she does it looks like she will struggle with the remaining classes. WIA funds paid this semester so Trade Act funds haven't been used. Is it possible for this client to either switch college programs (to a program that is less math intensive) OR could she take a program at BOCES or REOC? This person definitely needs training as she has only worked in a manufacturing setting. (10/17/05)
A.	It should first be noted that appropriate assessments should be used to best match individuals with training programs and while assessment should not be used alone to determine an individual's potential success it is part of the equation. Part of the approval process under TAA is that the individual is qualified to undertake and complete the training. It is understood that even with the best assessment process the individual may not experience success in the selected training program. If the success is through no fault of their own - that is they did not have excessive unexcused absences or similar, a change in programs may be necessary and appropriate. The goal of the program is to assist individuals obtain suitable employment as rapidly as possible. It is possible to amend a training program to meet the unforeseen needs of the individual such as remedial education or to meet specific occupational goals. However, the length of the amended training cannot exceed 104 weeks of occupational or 130 weeks of occupational and remedial training. This means that the weeks already spent in training are included in the total weeks of training. It is preferable to amend the program for an objective in the same occupational family. A comparable goal for an individual not able to complete the AAS in Accounting may be a BOCES program for Billing Clerk or Accounts Payable/Receivable. Funds cannot be used to pay for a failed course twice.
Q25.	My client wants to attend a local college for an Associate's in Accounting. There are several reasons: Shorter time period & will be able to return to the job market sooner Smaller class sizes - low ratio of students to teacher creating a more individualized atmosphere for learning Classes in business, math & English - no liberal arts, or science classes Classes in one central building rater than a campus The cost of attending this program $24,330.00. The school is willing to give my client a scholarship to pay any costs that Trade Act (& Pell)doesn't cover at least 14,330.00 Is there any way that this can be approved? Especially since she will return to the job market sooner. (8/30/05)
A.	Based on the info provided this training could not be approved. In addition to being over the cap it does not fit the approval criteria under TAA. According to the TAA regulations regarding reasonableness of cost, when training, substantially similar in quality, content and results is offered at more than one training provider, the lowest cost training shall be approved. The regs also state that training cannot be approved when the costs of training are unreasonably high in comparison with the average costs of training other workers in similar occupations at other providers. Continue to work with the individual to find training that is appropriate and can be approved. A training determination should be submitted so the training can be denied and the individual afforded appeal rights.
Q24.	Is an individual, who is TAA qualified, allowed to pursue college degree curriculm courses and obtain approval vs. pursuing an entire college degree program. For example, an individual who already has a 4-year degree in Fashion Design may be interested in pursuing courses in "other" design, i.e., interior design, graphic design, but may already have many of the classes. Therefore, are individual courses approved, as long as the Employment Development Plan justifies the request for this training? Thank you for your prompt response. (7/26/05)
A.	Yes. A training program may consist of a single course or a group of courses designed for an individual to meet a specific occupational goal. The training must meet all the criteria for approval as detailed in the desk guide. Among the criteria that may be a factor in this case : is there employment opportunities for which the individual is already suited for by experience or training.? If the individual with a 4 year degree in Fashion Design can find suitable employment then training would not be justified. is the requested training for an occupation in demand on the local area's demand occupation list? and is the training full time?
Q23.	Is there a process we should follow to notify Albany if TAA funds need to be deobligated for an individual currently enrolled in training. We just received a refund check from the school he's attending in the amount of $1,428. He was awarded financial aid for the Spring 2005 semester so the amount he'll need in TAA funds should be reduced. How should this be handled? (5/20/05)
A.	Similar to the method to deobligate funds prior to the start of training, when it is realized that funds need to be deobligated for an individual enrolled in training, a message should be sent to the WDTD funding e-mail box. The subject line should read the customer's last name and DEOB (Smith DEOB). The e-mail message should contain the individual's SSN, amount to be deobligated and a brief explanation of why there is a deobligation. See also question 23 in this section.
Q22.	The way semesters/quarters and the TAA fiscal year fall, we might actually go over the $5000.00 in one fiscal year without going over the $10,000.00 total. Is this a problem? (4/14/05)
A.	NO – not as long as the approved training meets the existing caps in accordance with the number of weeks of training.
Q21.	What other monies count toward the $5000.00/$10,000.00 total besides TAA and WIA? TAP, Pell, Student Loans? What do we need to be tracking here? (4/14/05)
A.	Any funds that are available to the customer that they are not required to repay must be considered toward the total cost of training. A student loan should not be used in the calculation of the training cost as it would likely make the plan not approvable. A loan taken to support personal needs while in training should not be considered toward the total as the funds will not be used for training costs. Other examples of possible funding sources may include funds from VESID, scholarship from training provider, Veteran’s benefits, employee benefit program ( given that there are no requirements to repay).
Q20.	The training approval form instructions indicate, “TAA Funding for subsequent years is not guaranteed although identified in this approval.” What happens if a person is funded for only 1 year of a 2-year program? (4/14/05)
A.	The request for funds by federal year in which they will be expended is meant to manage limited TAA funds. As the TA indicates every effort will be made to honor subsequent requests for funds for those continuing programs that identified the need such funds based on funding availability. In the event TAA funds are not available at the time the subsequent funds are needed – efforts should be made to identify alternate sources including TAP and Pell that may not have been awarded/identified in the first year of training because of the individual’s income level.
Q19.	How do we notify the Department that TAA funds that were approved are not needed. (1/21/05)
A.	When approved funds are no longer required and the training has not yet started, an e-mail must be sent to the WDTD funding e-mail box indicating this with the original approval attached. When this is submitted you will receive notice that the funding approval has been revoked and the funds will be deobligated. In the subject line should read the customers last name and DEOB (Smith DEOB).
Q18.	Do TAA affected workers interested in training need to apply for and make use of TAP, Pell and other grants? (1/21/05)
A.	Yes, the Trade Adjustment Assistance regulations stipulate that the costs of a training program are not required to be paid from TAA funds to the extent that such costs are paid under any other Federal or State program or from any other source.
Q17.	It is not clear whether or not DOL will accept a training plan that otherwise meets all their rules for TAA/TRA, based on the judgment of the OET Coordinator. Are we to understand that, even if in our judgment, a person has met all the requirements; the TAA staff at the Department of Labor in Albany may still disapprove a training plan? (11/16/04)
A.	The Department is concerned with ensuring that the locally approved training meets statutory compliance and State policy. If a training approval is submitted that does not meet the guidelines, for example, exceeds the funding caps allowed or exceeds to maximum weeks allowed you would be notified that the training approval will not be processed and instructed to submit a training determination detailing reasons why the training is not approved.
Q16.	The 210 day rule states that a worker must have filed a bona fide application for training within 210 days. What constitutes a bona fide application? Is this another DOL form that needs to be completed or is our application for WIA funding sufficient? (11/16/04)
A.	The day the training section on the EP is started is the bona fide Application date. The revised employment plan has a spot for start date at the top of the OJT and Classroom training sections. It is important to document this date on the EP as it will serve to document eligibility for Additional TRA benefits and possibly be used in determining appeals by the UI Appeal Board.
Q15.	What is necessary to conclude that suitable employment is not available? If suitable employment opportunities are found in job listings, classifieds, etc., is the customer required to apply and follow through with any interviewing processes? (11/16/04)
A.	If suitable employment is available then the customer should be applying for those positions they meet the requirements for and following through on any interviews. Typical labor market information that local area staff use daily in their counseling and job search assistance services can be used like job ads from AJB (if that type of job is usually posted there) in addition to the individual’s job search record to make decisions regarding the availability of suitable employment. Suitable employment is 80% of the previous wage and comparable or better skill level.
Q14.	Our local WIA requirements for training are stricter than Trade's. What should the process be for someone who is denied by WIA, yet may still be eligible for training through TAA? (11/16/04)
A.	If TAA funds are available or the training can be paid by other means and it meets the TAA criteria then the training should be approved.
Q13.	How should the IEP be completed? How detailed should it be? What resources should we use? What's the best way to fill it out online with the customer, while not making it too impersonal? (11/16/04)
A.	The IEP should provide enough detail that it is a meaningful document for the participant and justify the actions of the staff. It should be a document that the individual holds onto and can refer to again when making career decisions. It should be a tool that the individual can use when they create a resume and prepare for an interview. Each local area will utilize different resources for assessment and career counseling. The Department has not prescribed any set assessment tools or number of counseling sessions to produce an EP. This in part will be determined on a case by case basis. The best way to complete may be a personal staff preference. The instructions detail that changes must be highlighted. The activity box expands as you need room.
Q12.	What is required for approval when a TRA client is requesting distance learning. TEG-L 7-00 sets the criteria but is any special paperwork required? Does it make a difference if the class is being taken as part of a degree program where some classes are held on campus and others can be taken in a distance-learning format? (11/16/04)
A.	The documentation in the case record should support that the criteria are met. A training program that is a combination of on-site classes and distance learning may be the best scenario and in this case it seems more likely that the criteria for approval will be met. There must be a means by which student progress and participation can be monitored. TEGL 7-00 stipulates the criteria for approval and is listed below. Distance learning may be approved when it is part of a curriculum that: 1. leads to the completion of a training program; 2. requires students to interact with instructors; 3. requires students to take periodic tests; and 4. requires students to come onto campus or other approved facility, for tests and meetings with instructors.
Q11.	Does an at home GED program through a BOCES (GRASP) meet the requirements for the Remedial Education Benefit under TAA/TRA. (11/16/04)
A.	Any remedial education as part of an approved employment plan must also meet the criteria for TAA occupational training. Remedial training may occur prior to occupational training or concurrently. If this course is considered full-time, requires the individual take periodic tests to measure progress, meet with an instructor and meets all the other criteria for approval it may be considered part of an approved TAA employment plan.
Q10.	A TAA eligible affected worker has dropped out of approved training. What is the appropriate course of action? (11/16/04)
A.	If an individual withdraws from approved training with justifiable cause and adheres to the requirements set forth in the employment plan it must be documented in the case record. At this point a training termination should be filed and if appropriate a waiver from training can be issued. The person should continue to receive services to help them obtain employment. Justifiable cause as defined in the regulations means such reasons as would justify an individual’s conduct when measured by conduct expected of a reasonable individual in like circumstances, including but not limited to reasons beyond the individual’s control and reasons related to the individual’s capability to participate in or complete the approved training program. If a person withdraws from training without justifiable cause then the circumstances need to be documented in the case record. The individual should continue to receive basic employment services however they are not eligible for TRA. In this instance a training termination notice should be filed and a waiver denial if the individual was still eligible for Basic TRA. The regulations state that a waiver cannot be issued to an individual who fails to begin or ceases to participate in approved training without justifiable cause. An example of a justifiable cause to withdraw from training may be if the individual is temporarily disabled or sick. In this instance when the individual is able, they may return to the approved training program. However TAA funds cannot be used to pay for any part of the course already paid for. If an individual withdraws because the training is not what they expected or they do not care for the homework – these must be considered examples of what is not a justified. When the individual signs the employment plan it signifies that they understand the requirements of the training course.
Q9.	A TAA customer has received a “Determination of Entitlement to TAA” letter, but is already working for a different employer than the employer covered by the TAA petition. In the event that this current job doesn’t last, at what point in the future can the customer still request and be eligible for TAA/TRA benefits and or services? (11/16/04)
A.	An eligible affected worker regardless of their eligibility for UI/TRA may request the training benefit under TAA. If the current employment is considered suitable, then the worker cannot quit that employment and be eligible for benefits under TAA. Trade Readjustment allowances and Job Search and Relocation Allowances have definite timelines for eligibility as detailed in the desk guide and timelines and guidelines attachments to the TA 04-6. In this instance if the individual is laid off from the current employment, depending on when it happens, he may be eligible for training but not TRA or job search or relocation allowance.
Q8.	Do TAA affected workers enrolled in approved training need to apply for 599? (11/16/04)
A.	Usually, an individual in receipt of Unemployment Insurance must be looking for work. A provision of the Unemployment Insurance law, detailed in the handbook provided all claimants, informs individuals that the requirement to look for work may be waived if they are enrolled in training. This is commonly called 599 because that is the section of Unemployment Insurance dealing with this waiver from work search. TAA affected workers who will enroll in approved training do not need to apply for 599. Approval for 599 is automatic once training is approved under TAA.
Q7.	Are we required to complete the Training Approval form? If so, when is this done? Do we have to wait until Special Programs approves the Employment Plan or can we go ahead and complete the training approval form if WIA funds are being used to pay for the full cost of training?
A.	The training approval form is completed when TAA approved training is to begin within 30 days of the date of issue. The training approval serves two functions - establishes the one approved training program allowed per certification and establishes the timeframe for receipt of TRA.
Q6.	After the Employment Plan has been completed and signed by both parties, do we send a copy to Special Programs for review and/or approval?
A.	No. The Employmet Plan should be maintained at the local level. In the event that training is warranted, the training approval sent to WDTDTAA serves as notice that a signed copy of the training section is in the case file. The need for training is determined and approved at the local level. The technical advisory details action to be taken when training cannot be approved.
Q5.	Can a TAA eligible individual take a loan to support personal needs while in a TAA approved training program?
A.	Yes. The individual's financial resources must be determined adequate to undertake and complete the training program in order for the program to be approved under TAA. The worker's financial resources requires an evaluation of the remaining weeks of UI and TRA. If the training program is longer in duration than the total entitlement of UI and TRA it must be ascertained if personal or family resources are available to the worker to support the completion of the training. A resource considered when determining this criteria may include the willingness to secure a loan if necessary in addition to other personal and family resources. Training cannot be approved if there are not adequate financial resources available to the worker to complete a training which has a duration beyond the UI and TRA entitlement. This must be determined for each individual on a case by case basis.
Q4.	Can training be approved for a TAA eligible individual currently in school who has paid for the training themselves with personal resources or through a loan - when all other criteria for approval are met?
A.	No. However, at the point the individual no longer is paying for the training, the training program may be approved when all other criteria for approval are met. This could occur at the beginning of the next term.
Q3.	If the TRA/Dislocated worker wants to go to a Training Program that costs more than the $5000.00 for the 52 wk. time frame and they are willing to pay the difference, can the training be approved?
A.	No. The TAA regulations state that a plan cannot be approved if the student is required to pay a fee or tuition. (Subpart C 617.22 and 617.25) This stipulation is also detailed in the TAA desk guide. In addition, the local area may grant an exception to the $5,000 cap for a 52 week training program only when it can be demonstrated that funds from sources including Federal programs, state or local resources and employee tuition benefits are being leveraged.
Q2.	What are the prevailing federal per diem rates used in determining subsistence payments?
A.	The rates can be accessed at the following link: http://policyworks.gov/org/main/mt/homepage/mtt/perdiem/perd04d.html.
Q1.	What is the Department's position on over-obligating TAA training funds?
A.	The Department cannot obligate Federal funds that are expected but have not yet been awarded. The Department will not make obligations in excess of the amount of Federal funds available for TAA training. Doing so is made at the Department's own risk. Should additional funds covering the period when the obligations were incurred not be provided, the State must identify another source of funds to cover the obligations.
Trade Readjustment Allowance
Q14.	If someone is retired, are they still suppose to do a job search in order to receive Basic TRA benefits? (5/1/08)
A.	You should only issue a waiver from training if the customer states he or she is ready, willing and able to look for and is willing to accept employment. If the customer states he or she is fully retired and no longer ready, willing and able to look for and not willing to accept employment, the customer has withdrawn from the labor market and is no longer eligible to receive TRA. If this is the case, a waiver determination needs to be completed and sent to the labor.sm.wdtd.determinations mailbox indicating the customer has retired and has withdrawn from the labor market. Please include the date of retirement on the waiver determination. A word of caution . . . If the customer is put on waiver because he or she indicated a willingness to seek and accept employment and then it is discovered that the individual has, in fact, withdrawn from the labor market, they could end up with an overpayment.
Q13.	If claimant collecting Basic TRA works part of a week, e.g., two days; is the required job search of 5 contacts per week, reduced for that week? If so, what is the formula relative to number of days worked? (4/18/08)
A.	Individuals collecting partial TRA benefits because they are working part-time are still requried to conduct a minimum of 5 job searchs per week.
Q12.	Recently I have had a few Trade Act customers who were confused about how their 52 weeks of additional TRA would be paid out in the case of a break of more than 30 days in the training. In other words, would a customer in this circumstance be able to collect the full 52 weeks of additional TRA, even if not within 52 consecutive weeks? Or would the customer only be able to collect weeks they were able to claim during the 52 consecutive weeks from the beginning of the additional TRA period. (5/18/07)
A.	Additional TRA is only paid in the 52 consecutive week period from the date of first receipt of the additional TRA.
Q11.	A person is in approved training and is not scheduled for training over the summer as part of their approved plan. This will result in a scheduled break of greater than 30 days, and therefore not eligible for TRA. Can the individual take summer employment and then quit that employment to resume the approved training in the Fall? (6/27/06)
A.	Yes. The TAA regulations allow for an individual in approved training to secure employment and then quit that employment or reduce to part-time to continue in approved training. Individuals who secure interim employment are not subject to disqualification or ineligibility to UI or TRA because they terminated the employment to return to approved training. Employment during breaks should be used whenever possible as a means to bolster the occupational skills gained in training. For example, a nursing student should be assisted in finding health related employment. Employment during the summer months and breaks greater than 30 days should always be considered when developing the employment plan that includes training with such breaks.
Q10.	I have 3 people in CRT. Their UI will be exhausted in the next few weeks and they will be filling out the TA 923.1 (Weekly request for allowances by worker in training) They will have a break around Christmas. The question arose as to the 30 limit. Is the 30 days calendar days, weekdays (M-F), or actual days in class. For example, the class schedule for these particular individuals is Monday-Thursday every week. This might possibly make a difference is the break is 30 calendar days as opposed to actual class days. (10/26/05)
A.	As stated in the TAA regulations at section 617.15 and in the Operating Instructions (TEGL 11-02) TRA may be paid to an individual during a scheduled break in training when the break in training is not longer than 30 days and the following additional conditions are met: The individual was participating in TAA approved training approved immediately before the beginning of the break; and The break is provided for in the published schedule or the previously established schedule of training issued by the training provider or is indicated in the training program approved for the worker; and, further The individual resumes participation in the training immediately after the break ends. The days within a break in a training program that shall be counted include all calendar days beginning with the first day of the break and ending with the last day of the break, as detailed in the training providers schedule. Except that any Saturday, Sunday, or official State or National holiday occurring during the scheduled break in training, on which training would not normally be scheduled in the training program if there were no break in training, shall not be counted in determining the number of days of the break . This means that the days that are counted to determine if the break is greater than 30 days are only those days the training provider would normally schedule training, Monday through Friday. (This does not mean that if a claimant is only scheduled 3 days per week that only 3 days will be counted. It is based on a normal training week of Monday through Friday.) In the instance that a State or National Holiday occurs during the scheduled break and if there were no break, school would be cancelled, this day is not counted in the 30 day count. For example, if Christmas Day is celebrated on Monday the 26th, 2005, training would not normally be scheduled for this day if there was no break in training so this day is not counted toward the 30 day total. Also, a scheduled break is one that is typically announced in the school bulletin or catalog. A break in training due to medical reasons or a change in training plans cannot be considered a scheduled break for these purposes. Each week the individual is on break they need to include on the Weekly Request for Allowances while in Training( 923.1 ) the dates of the break in its entirety so it can be determined if the break meets the criteria. They also need to include the number of days they would have been scheduled for training in the bottom right hand box on the 923.1 in section 3 Attendance Record, if not on break. Please also see Q13 in the Use of Forms section.
Q9.	What happens when a TAA customer is receiving or plans to collect social security while still job searching? Are their TRA benefits affected? (8/30/05)
A.	TRA benefits are not affected as long as the individual continues to actively seek work and does not restrict his job search or the employment that he is willing to accept in order to maintain his full social security benefits. In other words, he must be looking for any full-time job that he is fitted for by training and experience.
Q8.	Senario: A person requires extensive remedial training, has exhausted Basic TRA, and has used 26 Additional weeks beyond Basic TRA while still in remedial training; then needs more weeks of remedial before entering occupational training. As that person enters the 52 week period of Additional TRA will he be able to continue collecting weekly benefits while finishing the remedial training? Or would she have a break in weekly benefits until entering the occupational phase of training? Also, I add (though it might have no bearing on answer)that the combined remedial and occupational training would be completed before the end of the 78 week period allowed for combined remedial and occupational training.(8/24/05)
A.	Individuals requiring occupational training may also require remedial education as part of the training plan. Remedial education is defined as training in the elementary skills that every worker must have to achieve basic employability. From TEGL 11-02 - remedial training is considered pre-vocational; that is, it leads to occupational, on the job or customized training that will equip the participant with specific job skills. Examples of remedial education are basic writing and mathematical skills training, English as a Second Language, and courses leading to a GED. Prerequisite college courses for admission to a course of study are not considered remedial education. A worker who requires remedial education may receive a maximum of 78 weeks of additional TRA. A worker who does not require remedial education may receive a maximum of 52 weeks of additional TRA. The required remedial training is developed as part of the employment plan with in conjunction with the occupational training. An individual may be enrolled in remedial education for a duration greater than 26 weeks during the 130 week plan but will not be paid additional TRA beyond the 78 week maximum. In the scenario described, the individual can continue to certify for and be eligible for additional TRA while still in remedial training.
Q7.	A dislocated trade affected worker job seeker is interested in participating in the Self Employment Program and wants to know if accepted will he still be able to collect basic TRA when his UIB ends and can someone who is in SEAP be eligible for TRA basic under "waiver of training" if he does not find work and does not open a business by the end of the 26 weeks? (5/12/05)
A.	No. An individual enrolled in the Self Employmet Assistance Program cannot also be waived from training under TAA. The Self Employment Assistance Program (SEAP) provides certain eligible individuals the opportunity to start their own business while collecting unemployment insurance benefits. In order to be considered eligible for this program, the individual must first be identified by the State's profiling system as likely to exhaust unemployment insurance benefits. Individuals must receive written acceptance into SEAP before they start or operate their own business while collecting benefits and comply with program requirements. Individuals must apply for SEAP by the 13th week of their UI claim. The program requirements include benchmarks for developing a business plan and attendance in at least 20 hours of business counseling related to business start up or entrepreneurial skills. While engaged in the SEAP program the individual is able to certify for UI while working at their business. In these instances, when the individual exhausts UI they would not be eligible for basic TRA. Eligibility for basic TRA is dependent on the individual being either totally unemployed, waived from training and actively seeking work or enrolled in training, by the 8/16 week deadline. An individual enrolled in SEAP cannot also be waived from training under TAA. If a wavier were in effect prior to the acceptnace into the SEAP program, when the individual enrolls in SEAP the waiver would be revoked.
Q6.	An individual completes training under TAA. Would they continue to receive basic TRA payments for up to the balance of their 26 weeks while looking for work, or is there a set number of weeks of eligibility remaining after training completion for job search? (4/14/05)
A.	An individual who completes training and has not exhausted entitlement to basic TRA can continue to certify for weekly allowances. In this instance, it is likely that the individual has marketable skills because they just completed approved training therefore a waiver should be issued based on this reason and data provided in the spaces available regarding the completed training.
Q5.	Someone has asked about the filing of a new claim. I have had one person go to work at what appeared at the time to be seasonal employment. He hasn't returned so far. If he should, how do we proceed? If he just reopens his UI claim and doesn't return until he might be eligible for TRA, what should be done? The onus appears to be on us that a person not miss his or her benefits. (4/14/05)
A.	An effort should be made and documented that you contacted this person to determine an appropriate course of action regarding the issuance of a waiver or enrollment in training. If/when he does return – work to complete the employment plan which will determine the next course of action.
Q4.	A person, who is now receiving TRA benefits has a retirement date of tomorrow, 3/5/05. His next update appointment is next week. Sometimes, a person is still eligible for regular UI even if they have taken a retirement package. Are they still eligible if they are receiving TRA, and if so, under what circumstances? Since he doesn't actually receive any retirement monetary benefits until April, should I have him come in for at least one more waiver after the one next week, continue seeing him until he is either working or his TRA runs out, or neither? (4/14/05)
A.	This is all dependent on if the individual withdraws from the labor market. If the individual withdraws from the labor market they would not meet the requirements for receipt of benefits under UI or TRA. A person could be retirement eligible and wish/need to continue to work and therefore potentially eligible for UI/TRA. Receipt of a pension does not preclude one’s eligibility for TRA however the amount of the allowance may be off set by the pension. If he wants to work and has marketable skills then it may be appropriate to issue a waiver from training. Just like any other waiver – it will be reviewed, the job search expectations identified in the employment plan and revoked when employment is secured. If the individual plans on retiring and withdrawing from the labor market submit a waiver determination indicating such.
Q3.	When someone has been collecting Basic TRA but becomes eligible for a new UI claim do waivers need to be issued during the 26 weeks of unemployment insurance? (11/16/04)
A.	It cannot be assumed that because one is entitled to a new UI claim that one will necessarily have a new TRA eligibility date. In this instance, because a waiver was already established, if the claimant is now collecting 26 weeks of UI, it is not necessary to review the waiver during that time. However as part of continued service delivery, based on the employment plan, regular assistance should be provided and at the point the individual obtains employment any existing waiver should be revoked. The purpose of a waiver is to preserve one's rights to TRA. The law says one must be enrolled in training or have a waiver from training issued by 8/16 weeks in order to be eligible for TRA. If the 8/16 deadline is passed, no waiver can be issued and a waiver denial should be submitted indicating that the individual was not enrolled in approved training or had the training requirement waived by the deadline. If the deadline has not passed you MUST issue a waiver if one of the reasons for a waiver exists and the waiver has to remain in effect until claimant is in training or until he exhausts his basic TRA. If for any reason, as detailed in the desk guide, a waiver cannot be issued or upon review it is determined that it must be revoked then a waiver determination form must be completed and submitted.
Q2.	What happens when someone who is collecting Basic TRA obtains employment and then is laid off from the new employment. (11/16/04)
A.	When someone is collecting Basic TRA and obtains suitable employment you no longer file a waiver but revoke the most recent waiver. When revoking the waiver indicate that the individual obtained suitable employment and the date they started. If the individual is laid off, a waiver may be issued, if appropriate, based on the individual’s employment plan so that the individual may claim any Basic TRA they may be eligible for. For each individual determined eligible for TRA an eligibility period is established during which the individual may be eligible for TRA. The benefit period is 2 years from the last day worked for the adversely affected employer. This means that the individual has up to two years to claim the 26 weeks of Basic TRA. It is possible therefore for a person not to claim 26 weeks of Basic TRA consecutively. Once the eligibility period has expired the individual is not eligible for any further Basic TRA regardless whether he has collected 26 weeks or not. The customer would need to be enrolled in training in order to receive Additional TRA. The waived through date is a method to ensure TRA payments are not made to an individual who has not had their waiver reviewed as required. When the effective through date has passed, UI SPU holds any individual certifications for payment until such time as the waiver is reviewed and updated.
Q1.	Are TRA benefits taxable. We have had customers ask since their UIB had taxes taken out and their TRA checks don't.
A.	Weekly Trade Readjustment Assistance payments are subject to Federal, State, and Local income taxes. Claimants receiving regular unemployment insurance benefits may elect to have 10% of their weekly benefit rate withheld for Federal taxes. However, no withholding may be done for State or Local taxes. There are no options for withholding from Trade Readjustment Assistance benefits for Federal, State, or Local tax purposes. It may be necessary for the customer to make estimated quarterly tax payments to avoid underpayment penalties. Publication 505, Tax Withholding and Estimate Tax, provides information about estimated tax payments and can be obtained from the Internal Revenue Service (IRS) by calling 1-800-TAX-FORM. If customers have any questions about estimated tax payments, they should contact the IRS at 1-800-829-1040."
Use of Forms
Q11.	I had to assist a customer in the petition application process and wasn’t sure of myself – even after reading the instructions. If something is done wrong, will USDOL let us know to the petition isn’t automatically denied? (4/14/05)
A.	Typically, if an item is missing on the application like a signature, date or the answer to the ATAA question the USDOL will attempt to contact the petitioner to correct the issue.
Q10.	We would like an overview of the whole process and forms: ATAA, HITC, Job Search and Relocation Benefits. (4/14/05)
A.	ATAA Eligible individuals receive an application for ATAA with their individual determination (722). In the event an additional application is needed, one is available on the interim forms page. Local area staff may “assist” an individual who requires assistance in completing/submitting the application and required proof. Local area staff are advised against submitting ATAA applications and paperwork on “behalf” of the customer, responsibility for lost, misplaced paperwork should not fall to local area staff. The relationship for eligibility and payment for ATAA should be between the customer and SPU. HCTC Individuals determined eligible for TRA are automatically sent a HCTC customer packet. Essentially HCTC is a benefit that should be coordinated between the customer and the HCTC. As stated previously in the Q and A, general questions should be directed to the HCTC call center – questions relating to verification of eligibility should be directed to SPU. There may be an increase in verification of eligibility questions as individuals are processing and receiving notices about their tax returns. In basic terms – a data file report is generated to the IRS indicating those eligible for HCTC –those that receive TRA, those that would receive TRA but have not yet exhausted UI and those that receive benefits under ATAA. Job Search and Relocation When an employment plan indicates that Job Search or Relocation allowance is justified and it is determined that the criteria for approval are met and TAA funds are needed – a request for funds can be made using the form available.
Q9.	What are the time frames in which forms should be submitted? (4/14/05)
A.	Requests for TAA funds for training – when training is to begin within 60 days. Requests for TAA funds for Job Search or Relocation – prior to the travel for the job search or relocation. Training approval – when training is to begin within 30 days – if wavier is in effect at the time of the training approval, the waiver must be revoked. Issue first waiver – prior to the Training Enrollment deadline established on the individual’s determination. DO NOT issue an initial waiver for an individual who does not meet this deadline. Subsequent waiver – prior to effective through date so there is no disruption of benefits – each local area is being sent lists of individuals and the waiver expiration date about 11/2 weeks in advance of the expiration as a reminder. Waiver/Training determinations – as soon as the situation warrants. Waiver determinations should be issued to individuals who do not meet the enrollment in training deadline. Individuals who are not determined eligible for TRA on the initial individual determination issued by UI Special Programs Unit do not need a subsequent determination issued .
Q8.	Are there any TRA and TAA forms available in Spanish? Specifically any form that a worker must review and sign such as the Training Waiver form, TA2, Training Approval Form and the Request for TRA payments for customers in training and those looking for work. (11/16/04)
A.	The interim forms available on the Internet are not available in Spanish. Local areas must use the resources available such as the interpretive services available from the Language Services Associates detailed in TA 04-14.
Q7.	Does an individual in approved training need to file some instrument in order to continue with their TRA weekly benefit while they are on a break from their training plan? i.e. semester or Holiday break weeks.
A.	Individuals in approved training can continue to submit the Weekly Request for Allowances by Worker in Training (TA 923.1) when the break is less than 30 days. At the bottom of the request the student can indicate that they are on break and indicate the dates of the break. A request must be submitted for each week on break. Individuals whose breaks are longer than 30 days are not eligible for TRA and should not be submitting any requests for payment during that time.
Q6.	In TA 4-6, it states that transportation payments are capped...and may be included in a TAA approved training plan ONLY if the commuting distance for training purposes is greater than the UI definition of reasonable commuting distance...Local boards may set policy limits on the inclusion of such payments consistent with the WIA Title 1 program policies. Is there special paperwork that needs to be submitted to WDTDTAA regarding the inclusion of transportation payments (especially when it is TAA funded)?
A.	No special paperwork is required to be submitted WDTDTAA when including payment of transportation costs. If TAA funds are needed to pay transportation, a request may be made using the request for TAA funds form. If the funds are authorized at the time the training approval is submitted the TAA funds for transportation will be identified under TAA. All TAA funds authorized are made available to the local area via the NOA. It is the responsibility of the local area to pay the approved transportation costs to the affected worker while in training.
Q5.	Where in the "Classroom Training" section of the new IEP should we include costs where no category exists, e.g. Needs-Related Payments, the costs of physical exams needed for Certified Nurse's Aid training, etc.? Also, would you please define what is meant by "subsistence"?
A.	Needs related payments should be documented in the justification section under the criteria item "The worker is qualified to undertake and complete this training." It should be noted that needs related payments should not be considered part of the cost of training. The cost of training is considered tuition and related expenses (books, tools, and academic fees) travel or transporation expenses and subsistence expenses. These would all be items that would be included in the training cap amount. Items such as physical exams for nursing programs would also be included in the Tuition and Fees section of the Training Costs chart and be subject to the training cap. Subsistence is defined as the supplemental assistance necessary to pay the costs of separate maintenance when the training facility is outside the commuting area. For example, if an individual requires training beyond the normal commuting area and they will establish a temporary residence while maintaining a permanent residence to attend training, subsistence may be paid.
Q4.	Can they fax the forms in (instead of mailing them)?
A.	The TA952.1 can be faxed to 518-402-1086, but not before Sunday.
Q3.	If they have made the minimum number of efforts by Wednesday, do they need to wait until Sunday to mail in the form?
A.	Yes. One cannot certify to a week of benefits before the end of the week (Sunday).
Q2.	What is the minimum number of efforts to seek work a client needs to make each week?
A.	A minimum of 5 work searches per week is required.
Q1.	When we attach a TRA or TAA form that requires a customers signature to an email do we need to scan the actual form so you have a facsimile of the signature?
A.	No. When you send the e-mail with the attached form it is assumed that a copy of the form with customer's signature is in the case folder.
Waivers
Q12.	Someone is receiving severance from their employer and thus has filed for UI but has not yet called in for checks. Is it necessary to begin the waiver process? In one case, the individual has almost a year of severance. (4/14/05)
A.	It is necessary to begin the wavier process if the individual will not be enrolled in approved training by the 8/16 week deadline. The enrollment in training deadline as identified on the individuals’ eligibility determination is based on the later of either the 8 weeks from petition certification or 16 weeks from most recent separation. This deadline date is independent of receipt of severance or payment of UI. As stated in the TA – all individuals must be assisted in enrolling in approved training or be issued a waiver, if appropriate by this deadline. NO BASIC TRA can be paid to an individual who is not enrolled in training or issued a waiver by this deadline. Based on the layoff date from the adversely affected employment a TRA benefit period is established. Generally this period is 2 years after his/her last day of work with the affected employment. Up to 26 weeks of basic TRA can be paid within this benefit period. As stated previously in the Q and A - If the 8/16 deadline is passed, no waiver can be issued and a waiver denial should be submitted indicating that the individual was not enrolled in approved training or had the training requirement waived by the deadline. If the deadline has not passed you MUST issue a waiver and the waiver has to remain in effect until claimant is in training or until he exhausts his basic TRA. If for any reason, as detailed in the desk guide, a waiver cannot be issued or upon review it is determined that it must be revoked then a waiver determination form must be completed and submitted. However, if the individual had been collecting basic TRA and is now eligible for and collecting UI under a new UI claim, it is not necessary to review the waiver during that time. However as part of continued service delivery, based on the employment plan, regular assistance should be provided and at the point the individual obtains employment any existing waiver should be revoked.
Q11.	Can you provide detail on waivers from training? (4/14/05)
A.	To receive Basic TRA (weekly income support after UI is exhausted) an individual must either be enrolled in approved training or have received a waiver from training by the enrollment in training deadline identified on their determination. The six reasons to issue a waiver are: Subject to recall Possess Marketable Skills Near retirement Poor health Delay in first available date for training Training is not available or funds are not available. Waivers must be reviewed minimally every 30 days to determine if the reason(s) still exist. The reasons for a waiver are detailed in the TAA desk guide and again here: Subject to Recall The individual must have a notice from the employer in writing. Possess Marketable Skills The worker has marketable skills and there is a reasonable expectation of employment at equivalent wages in the foreseeable future. The assessment performed as part of a core and/or intensive service should be used to determine if this condition is met. Near Retirement It may not be feasible for an individual planning to retire within two years to spend any amount of time in training to gain reemployment. In the development of the employment plan, retirement plans should be addressed. Retirement issues all individuals face like amount of pension vs. living costs should be investigated with the affected worker to determine need for employment. Waivers issued under the retirement reason are investigated by UI division for any possible “availability for work” issues. The anticipated date of retirement leads to the “availability for work” issue. In order for this reason to be valid the individual must be within 2 years of meeting the requirements under either Social Security or a private pension. The date of birth, social security retirement and name of pension company is data to justify this waiver reason. Receipt of pension does not preclude one’s eligibility for TRA however the amount of the allowance may be off set by the pension. Poor Health The worker is unable to participate in training due to health reasons. This waiver does not exempt the worker from meeting the requirement for the receipt of UI or TRA. Waivers issued for this reason are investigated by the UI division for “availability for work’ issues. Delay in 1st Available Date for Training The first available enrollment date for approvable training either within 60 days of the issue of waiver or beyond 60 days if there are extenuating circumstances. An example of an extenuating circumstance may be if the class is abruptly cancelled. In this instance, all appropriate alternatives should be explored. Training is not Available or Funds are not Available Training not available is defined as not reasonably available to the worker from either governmental agencies or private schools, no training that is suitable is available at a reasonable cost or no training funds are available. On the waiver form this reason is broken into 2 “not available” and “no funds”. No funds – it must be documented that there are no other source of funds available to the worker. In this instance a wait list for TAA funds would be in effect. Training not reasonably available to the worker and no suitable training available at a reasonable cost - with the availability of BOCES throughout the state it is not likely that this reason should ever be used. An individual may be employed in seasonal or temporary work that may not be considered suitable employment. Given that services are being provided to this individual to help them obtain suitable employment it may be appropriate to issue a waiver by the 8/16 week deadline if the individual has not yet obtained suitable employment or enrolled in approved training. A waiver determination is used when a waiver from training either cannot be issued or when a waiver should be revoked. Examples: a waiver cannot be issued when the worker fails to begin or ceases to participate in approved training without justifiable cause. In this case a waiver determination should be issued. A waiver cannot be issued to an individual who needs training to gain reemployment but will not attend and there is no reason why it is not feasible. A waiver denial should be issued to an individual who fails to be enrolled in training or have a waiver issued prior to the 8/16 week deadline. This may occur when an individual first appears for job search service after the deadline date. When the individual initial eligibility determination indicates they are eligible for TAA but not TRA – a wavier determination is not required. The appeal rights for that determination have been issued with the original determination If an individual fails to report to a scheduled review of the waiver and documented attempts to contact the person to determine why and reschedule a review are without success or justified then a waiver revocation should be issued. A wavier revocation is issued when the individual, collecting basic TRA, obtains suitable employment. The waiver revocation must include the start date of the new employment. A waiver revocation is required when an individual has been issued a waiver and subsequently is approved for training. When waivers are submitted to wdtdwaivers@labor.state.ny.us they are reviewed for general compliance with TAA regulations and procedure. The waiver is posted to a TAA database indicating the effective through date (which must be a Sunday date). When the individual certifies for a week of TRA, the UI SPU staff review the job search efforts and use the effective through date to determine eligibility for each week of TRA certification.
Q10.	In the event that a waiver is issued for training that begins two months from the date the waiver is issued, is the person still required to conduct a job search under UI rules if their training plan has been approved? (11/16/04)
A.	Yes and the waiver must be reviewed to ensure that the reason still exists for the waiver at least every 30 days. Circumstances may arise in two months time that may change the status of a waiver for example - other appropriate training may become available that begins earlier, suitable job opportunities not available at the time of the original waiver may be available or the planned training may be cancelled.
Q9.	Who has the responsibility for monitoring job searches? (11/16/04)
A.	Upon review of a waiver it must be determined if the conditions for the waiver still exist. According to the TA, a review of the individual’s job search activities must be used to determine the continued validity of a marketable skills waiver. This information can also be used by staff to assist and ensure that the individual is utilizing the best job search techniques and resources. For any waiver issued, the EP must detail the expected job search activities of both the individual and the one stop staff person. The desk guide details the expected job search activities for individuals receiving UI or TRA. Local staff do not “police” job search efforts but should be of assistance in aiding the individual meet the job search expectations. Monitoring job searches for the purpose of TRA eligibility is the responsibility of the Unemployment Insurance Division.
Q8.	We have a specific customer who has been working in a temporary job. By the time of his appointment for a 30-day waiver he was on active duty for the National Guard. What happens to him? (11/16/04)
A.	TEGL 16-03 change 1 issued 8/18/04 addresses providing services to returning members of National Guard and Military Reserves. NEG funds may be requested to make Needs Related Payments when individuals were eligible for UI/TRA and the eligibility period for receiving TRA has passed due to deployment. Even if the individual has no TRA eligibility – needs related payments may be made for as many weeks as the individual is participating in TAA approved training. For this individual, a waiver revocation should be issued because he is currently on active duty.
Q7.	If the waivers are not done (for people who are in temporary or seasonal jobs) they may not be eligible for future benefits? Why wouldn't they be eligible and what would be the basis of the denial/disqualification of benefits? (11/16/04)
A.	The TA indicates that all affected workers must be assisted in enrolling in approved training or be issued a waiver from the training requirement prior to the 8/16 week deadline if appropriate. Receipt of Basic TRA is dependent on either being enrolled in approved training or having been waived from training by the 8/16 week deadline. An individual employed in seasonal or temporary work may not be considered suitable employment. Based on the established employment plan it may be appropriate to issue a waiver by the 8/16 week deadline if the individual has not yet obtained suitable employment or enrolled in approved training.
Q6.	A TAA-eligible customer plans to enter a community college in the next semester, which starts January 18, 2005. Her 8/16-week deadline is November 19, to either be in an approved class or be issued a waiver from training. Under normal circumstances, we could issue a waiver on November 19 since it is within 60 days of planned training start. However, she has been offered a two-month temporary full-time job and I’m not sure how to protect the customer’s TAA/TRA benefits during the two-months of temporary work. (11/16/04)
A.	In this case a wavier may be issued for the reason that there is a delay in the start of training and it must still be reviewed at least every 30 days to determine if the reason for the waiver still exists.
Q5.	A TAA-eligible individual states that he is receiving Worker’s Comp and cannot work at this time. He was told by the U. I. Division that he does not qualify for U. I. Benefits because he is not “ready, willing and able” to work. How does this affect TAA/TRA benefits and should we still issue a TAA waiver to this customer? (11/16/04)
A.	If the individual has been determined TAA/TRA entitled by the Special Programs Unit and has been issued a TA 722A or TA 722E, then a waiver is required to preserve the claimant's rights to TRA. The fact that claimant is on Worker's Comp would not necessarily preclude him from going to school. If it does, then a waiver for health reasons would be appropriate. Obviously, he would not be entitled to TRA (or UI) until he is able to work and/or go to school but this would avoid the 8/16 deadline being missed.
Q4.	Reason number 3 for waivers “you are near retirement” – and reason number 4 “you are in poor health” if an individual qualifies for either of these waiver categories, are they still required to submit 5 employer contacts per week to receive their TRA allowance? (11/16/04)
A.	Yes, any individual issued a waiver from training is expected to be conducting a job search as prescribed in their employment plan.
Q3.	On the waiver, for the section, "waiver is in effect for Beginning and end date" --can we put for the beginning date, the 1st date they will have exhausted their unemployment and end date for 30 days later). We are doing a waiver based on being close to 2 years retirement, and want to fill out the waiver before the 16th week but did not know what date to put in for beginning. Please advise. Thanks.
A.	The date the customer exhausts Unemployment Insurance may not occur before the 8/16-week deadline. In this instance you may use the 8/16 week deadline date identified on the individuals determination for TAA as the beginning effective date.
Q2.	TA 04-6 states under section D sixth bullet that "All waivers must be "reviewed" every 30 days at a minimum. The maximum duration of a waiver is 6 months." In the directions for waiver under "Effective Waiver Dates it states, "A waiver cannot be issued for more than 30 days." The TA directions and Waiver Directions would seem to be in conflict. "Issuing" the waiver every 30 days would seem to be less efficient, especially since the status would be "reviewed" at least every 30 days and the waiver could be revoked. Please advise which directions are correct. We submitted a waiver for a customer without an end date. It was sent back with an end date, 30 days from the date of issuance. The e-mail stated that waivers are only good for 30 days. Question -I thought the waiver was automatically good for 26 weeks of TRA. If the customer does not come back in and renew within 30 days, will their TRA automatically be terminated? Can we renew the waiver based on a phone call, should we get backed up, so far this is far more involved that anticipated.
A.	As stated in the TAA regulations a waiver must be reviewed at least every 30 days to ascertain if the conditions for upon which the waiver was issued still exist. Therefore a waiver cannot have an effective period of longer than 30 days for a duration not to exceed 6 months or the time needed to cover entitlement to Basic TRA. (may occur when a wavier is issued during a worker’s UI claim) The goal of TAA is rapid reemployment obtained by assisting someone in returning to work or developing a training plan. Core services delivered during rapid response and the early weeks of UI, before a waiver is necessary, should determine if the individual is likely to return to work or require training. A local areas’ customer flow design should detail when and how waivers are issued and reviewed. The waiver may be reviewed and issued for up to an additional 30 days based on a phone call. However, it is expected that phone calls will not be used as standard practice for reviewing waivers. If a local area has a circumstance where it finds that multiple individuals warrant a waiver they may consider aligning the effective end and review dates. This would allow staff the opportunity to serve the individual through a job club or other group activity at which waivers can be reviewed. The effective end date for a waiver must be a Sunday date. The Unemployment Insurance Division’s Special Programs Unit (UI SPU) staff use the waiver effective end date when determining eligibility for each week of TRA certification. Individuals will not be paid any week of TRA past the effective date of the waiver. If a waiver lapses and claimant is not enrolled in training, he loses his eligibility for TRA.
Q1.	Do we need to complete a waiver determination (Form ES491A & TA2-Current DOL Form), if not how will we revoke waivers?
A.	Available on the Trade Act page under "Interim TAA Forms and Determination Notices" are forms and determination notices that replace the forms used by the local DoES staff. The TA2 - TRA Additional Eligibility Rules Agreement is available on-line as are the weekly requests for TRA payments so that local area staff can print on demand. PLEASE NOTE - the form titled Waiver Determination is used to notify the Department when a wavier cannot be issued. Local area staff cannot issue these determinations directly to the individual but will use this form to notify the Department and detail the reasons when a waiver cannot be issued. The determination form has the New York State seal, Department of Labor heading and appeal rights as a means to expedite the determination process. When the Department reviews and makes its determination the form will be printed, signed by a Labor Department staff person and mailed to the individual. The local area staff person will receive notice when the determination has been issued. The same is true for the Training Determination and the Job Search and Relocation Allowance Determination. It is expected that the instances where determinations are made will be the exception.