DIRECTIVE	:	GENERAL ADMINISTRATION LETTER NO. 05-98
TO	:	ALL STATE EMPLOYMENT SECURITY AGENCIES
FROM	:	David Henson Director Office of Regional Management
SUBJECT	:	Instructions for Preparing Reports for the Trade Adjustment Assistance (TAA) Program Performance and Participant Outcomes Data System

1. Purpose. To provide detailed instructions for the preparation and submission of State reports for the new reporting system on the Trade Adjustment Assistance (TAA) and the NAFTA-Transitional Adjustment Assistance (NAFTA-TAA) program performance and participant out

2. References: The Trade Act of 1974, as amended, TAA program regulations at 20 CFR Part 617, and GAL 5-98.

3. Background. The Employment and Training Administration (ETA) has implemented a new reporting system that will track program performance and participant outcomes for the TAA and NAFTA-TAA programs. States have been requested to prepare and submit implementation plans. This directive provides detailed instructions to the States on preparing and submitting quarterly reports under the new system to Social Policy Research Associates (SPR), the contractor that will operate the data system.

4. OMB Approval. On June 19, 1998, the new reporting system was approved by the Office of Management and Budget (OMB). The OMB control number is 1205-0392. OMB approval expires on June 30, 2001.

5. New Reporting Requirements. Each State is required to prepare an implementation plan and submit it to their appropriate Regional Office. Attachment I is an outline of the requirements for the implementation plans. The definitions of the required data elements and the format for reporting the data are contained in Attachment II. Most of the data elements identified are defined in the same manner as those used in the Standardized Program Information Report (SPIR) system for the Job Training Partnership Act (JTPA) Title III program and may already be available in most existing State data systems. Implementation of the new system is to begin by including participants who become terminees from the TAA or NAFTA-TAA programs during the first quarter of FY99 (October 1, 1998 through December 31, 1998). Each State is required to continue to prepare and submit reports covering terminees during each quarter thereafter; all reports must be submitted no later than 45 days after the end of the reporting quarter.

6. Technical Support. The Office of Trade Adjustment Assistance (OTAA) has provided technical training on the new reporting system to all Regional and State staff who administer the TAA and NAFTA-TAA programs. OTAA, the Regional Offices, and SPR will continue to provide any necessary technical support to the States.

7. Action Required. State Trade Act Coordinators (or the individuals assigned responsibility for submitting the reports in the State implementation plans) are requested to prepare and submit quarterly reports according to the instructions attached to this directive. The first quarterly report is to cover the period from October 1, 1998 through December 31, 1998, and must be submitted to SPR no later that February 15, 1999. Reports are required for each quarter thereafter; all reports are due no later than 45 days after the end of the reporting quarter.

8. Action Taken by OTAA. The Office of Trade Adjustment Assistance has provided technical training on the new reporting system to all Regional and State staffs who administer the TAA and NAFTA-TAA programs. Six training sessions were conducted, mostly bi-regionally. Training agenda items included comparison of current reporting with new reporting requirements, an overview of National, Regional and State roles and responsibilities with respect to the new reporting requirements, details on the implementation of the new reporting system including the calendar of activities, costs associated with the implementation of the new reporting system and information on available resources.

9. National Office and Regional Office Support. The National Office and Regional Offices will provide the necessary support to the States to ensure a smooth implementation of the new reporting system.

10. Funding . In order to support the implementation of the new reporting system in each State, the Department will allow the States to use funds for upgrading their automated data reporting capabilities from one of the following sources:

    1. States may use unexpended FY96, FY97 or FY98 TAA administrative funds;

    2. States may use unexpended FY96, FY97 or FY98 NAFTA-TAA administrative funds;

    3. To the extent allowable, States may explore the use of funds available through other related employment and training dislocated worker programs, including JTPA Title III funds, in connection with dual-enrollment policies and projects where both programs serve the same dislocated workers.

    4. States may access, through requests in their implementation plans, a limited amount of FY98 NAFTA-TAA administrative funds;

    5. Finally, State and Regional staff are encouraged to employ Regional technical assistance and training funds where available.

    States must submit their June 30, 1998 TAA and NAFTA-TAA Regular Quarterly Reports for FY96, FY97 and FY98 by using Form ETA 9023 (Attachment III). States which will be requesting FY98 NAFTA-TAA administrative funds must also submit a Supplemental Request Form ETA 9023 with justification for the requested amount.

11. Action Required. State Trade Act Coordinators are requested to prepare and submit an implementation plan using the attached instructions. States must submit their implementation plans to their respective Regional Offices no later than August 28, 1998. Once USDOL approves a State's implementation plan, States are expected to implement the plan during the first quarter of FY99.

12. Inquiries. Inquiries of a technical nature related to the implementation of the new reporting system should be directed to Curtis Kooser by telephone on 202-219-4845, extension 111, or by E-mail at kooserc@doleta.gov. Inquiries regarding funding issues related to the new reporting system should be directed to Heidi M. Casta by telephone on 202-219-4787, extension 106, or by E-mail at castah@doleta.gov.

13. Attachments. 

    1. Implementation Plan Outline.

    2. TAA and NAFTA-TAA Program Performance and Participant Outcomes Data System, Reporting Elements and Definitions.

    3. Form ETA 9023.