Trade Adjustment Assistance program reserve funds

The letter's attachments are the SF-424 and ETA-9117 forms and the ETA-9117 instructions, transcribed below. The two SF-424 pages reproduce different revision labels: “Rev. 9-2003” on the face sheet and “Rev. 7-97” on the instructions.

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM
U.S. DEPARTMENT OF LABOR
Washington, D.C. 20210
CLASSIFICATION: TAA
CORRESPONDENCE SYMBOL: ONR
DATE: July 14, 2004

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 2-04

TO: ALL STATE WORKFORCE AGENCIES; ALL STATE WORKFORCE LIAISONS

FROM: EMILY STOVER DeROCCO, Assistant Secretary

SUBJECT: Trade Adjustment Assistance (TAA) Program Reserve Funds

1. Purposes. (1) To inform states of the availability of Fiscal Year (FY) 2004 Trade Adjustment Assistance (TAA) reserve training funds and job search and relocation allowances for trade-certified individuals; and (2) to transmit forms and instructions for requesting TAA reserve training funds and job search and relocation allowances.

2. References. The Trade Act of 1974, as amended; the Trade Act of 2002 (Pub. L. 107-210) (“the 2002 amendments”); Training and Employment Guidance Letter (TEGL) No. 11-02 (October 10, 2002); TEGL 11-02, Change 1 (November 6, 2003); 20 CFR Part 617; TEGL No. 17-00, Change 1 (July 3, 2003); TEGL No 6-03 (October 1, 2003); Office of Management and Budget Circular A-87; and 29 CFR Parts 96, 97, 98, and 99. The 2002 amendments to the TAA program are also known as the Trade Adjustment Assistance Reform Act of 2002.

3. Background. On October 1, 2003, TEGL 6-03 was issued, which detailed the Department’s new formula allocation process for distributing TAA program funds beginning in FY 2004. The guidance letter also shared the Department’s plan for the distribution of TAA program reserve training funds.

As outlined in TEGL 6-03, the Department provided $165 million in TAA training funds under the FY 2004 base allocation. The base allocation was provided in four installments, under continuing resolutions, with the final installment of TAA training funds allotted on March 9, 2004. The remaining $55 million has been reserved for states that experience large unanticipated layoffs. These funds are available for allocation. In order to be eligible for TAA reserve training funds, states must demonstrate that at least 50 percent of their FY 2004 TAA formula funds have been expended on an accrual basis. This expenditure requirement does not apply to prior year funds. States that have met this requirement and continue to have a demand for TAA services and benefits are encouraged to submit a request for TAA reserve training funds.

RESCISSIONS: None
EXPIRATION DATE: Continuing

In addition, states may also request job search and relocation allowances for trade impacted workers who are unable to find employment within their local commuting area. These funds can also be requested at any time.

4. Funding Request Submissions. All requests for TAA reserve training funds and job search and relocation allowances must be submitted to the appropriate regional office, which is responsible for determining reasonableness based upon available information. Requests forwarded by the regional offices will be processed within 15 working days provided such requests contain all of the necessary information needed to make a determination. If additional information is needed by the national office, the processing timeframe will be extended.

The Employment and Training Administration (ETA) has received Office of Management and Budget approval for the collection of financial information on the Standard Form (SF) 424, Application for Federal Assistance and ETA-9117, Trade Adjustment Assistance (TAA) Program Reserve Funding Request Form. These reports should be used in lieu of the ETA-9023, Trade Adjustment Assistance/NAFTA-TAA Financial Status/Request for Funds form which has expired.

In accordance with federal requirements and the new operating procedures for the Trade program, states must complete and submit a SF-424 with each request for TAA reserve training funds and job search and relocation allowances. The SF-424 will serve as the initial request for TAA funding, and the ETA-9117 will serve to provide supporting information needed to properly evaluate and assess the request.

States must complete the ETA-9117 to provide information such as the number of participants currently enrolled in the TAA program and the conditions that have made the request for reserve training funds or job search and relocation allowances necessary. Factors that will be taken into consideration during the review of these funding requests will include expenditure of TAA formula funds, number of people currently enrolled in training, number of people expected to apply and be approved for training, average cost of training, and conditions underlying the request. Further, the request should contain a list of active certifications including petition numbers, company names and locations.

An additional 15 percent for program administration will be added to all allocations of TAA formula and reserve funds and job search/relocation allowances. The funds for administering the TAA program will be included each time funds are allocated to states by ETA.

Finally, consistent with the TAA Annual Cooperative Financial Agreement, ETA will analyze quarterly cost information submitted by states on the Standard Form-269, Financial Status Report and may recapture funds where excessive unobligated balances are reported for two or more consecutive quarters.

5. Action Required. State Administrators are requested to transmit the SF-424 and ETA-9117 forms, and accompanying instructions, to the appropriate staff.

6. Inquiries. States should direct all inquiries to the appropriate regional office.

7. Attachments. SF-424 and ETA-9117 forms and instructions.

Attachment: Application for Federal Assistance (SF-424)

Version 7/03. Standard Form 424 (Rev. 9-2003). Prescribed by OMB Circular A-102. Previous edition usable. Authorized for local reproduction. The blank application has these labeled entries:

1. Type of submission: application or pre-application; construction or non-construction.
2. Date submitted and applicant identifier.
3. Date received by state and state application identifier.
4. Date received by federal agency and federal identifier.
5. Applicant information: legal name; organizational unit, department and division; organizational DUNS; street, city, county, state, ZIP code and country; contact name, email, telephone and fax.
6. Employer identification number (EIN).
7. Type of applicant (see instructions).
8. Type of application: new, continuation or revision, with revision letter(s) and an “Other” field.
9. Name of federal agency.
10. Catalog of Federal Domestic Assistance number and program title.
11. Descriptive title of applicant’s project.
12. Areas affected by project (cities, counties, states, etc.).
13. Proposed project start and ending dates.
14. Congressional districts of applicant and project.
15. Estimated funding: federal, applicant, state, local, other, program income and total.
16. Whether the application is subject to state Executive Order 12372 review; if yes, date made available for review, or if no, whether the program is not covered or not selected by the state.
17. Whether the applicant is delinquent on any federal debt; if yes, attach an explanation.
18. Certification: “TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATION/PREAPPLICATION ARE TRUE AND CORRECT. THE DOCUMENT HAS BEEN DULY AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED.” Fields request the authorized representative’s name, title, telephone number, signature and date signed.

Instructions for the SF-424

Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0043), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.

This is a standard form used by applicants as a required face sheet for pre-applications and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant’s submission.

1. Select Type of Submission.
2. Date application submitted to Federal agency (or State if applicable) and applicant’s control number (if applicable).
3. State use only (if applicable).
4. Enter Date Received by Federal Agency. Federal identifier number: If this application is a continuation or revision to an existing award, enter the present Federal Identifier number. If for a new project, leave blank.
5. Enter legal name of applicant, name of primary organizational unit (including division, if applicable), which will undertake the assistance activity, enter the organization’s DUNS number (received from Dun and Bradstreet), enter the complete address of the applicant (including country), and name, telephone number, e-mail and fax of the person to contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue Service.
7. Select the appropriate letter in the space provided: A. State; B. County; C. Municipal; D. Township; E. Interstate; F. Intermunicipal; G. Special District; H. Independent School District; I. State Controlled Institution of Higher Learning; J. Private University; K. Indian Tribe; L. Individual; M. Profit Organization; N. Other (Specify); O. Not for Profit Organization.
8. Select the type from the following list: “New” means a new assistance award. “Continuation” means an extension for an additional funding/budget period for a project with a projected completion date. “Revision” means any change in the Federal Government’s financial obligation or contingent liability from an existing obligation. If a revision enter the appropriate letter: A. Increase Award; B. Decrease Award; C. Increase Duration; D. Decrease Duration.
9. Name of Federal agency from which assistance is being requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. If appropriate (e.g., construction or real property projects), attach a map showing project location. For preapplications, use a separate sheet to provide a summary description of this project.
12. List only the largest political entities affected (e.g., State, counties, cities).
13. Enter the proposed start date and end date of the project.
14. List the applicant’s Congressional District and any District(s) affected by the program or project.
15. Amount requested or to be contributed during the first funding/budget period by each contributor. Value of in kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. If both basic and supplemental amounts are included, show breakdown on an attached sheet. For multiple program funding, use totals and show breakdown using same categories as item 15.
16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process.
17. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the applicant. A copy of the governing body’s authorization for you to sign this application as official representative must be on file in the applicant’s office. (Certain Federal agencies may require that this authorization be submitted as part of the application.)

SF-424 (Rev. 7-97) Back.

Attachment: Trade Adjustment Assistance (TAA) Program Reserve Funding Request Form (ETA-9117)

U.S. Department of Labor, Employment and Training Administration. OMB Approval No. 1205-0275. Expiration Date: 12/31/2006. ETA-9117 (Dec. 2003). The blank form contains:

1. State.
2. Report Period Ending.
3. Total Amount of Funds Requested, separately stating Training and Job Search/Relocation amounts.
4. Financial Data, completed for each relevant fiscal year allocation, with a period covered. The form repeats three fiscal-year tables. Each has columns for Admin (1), Job Search/Relocation (2), Training (3), Program Total (2 + 3) (4), and Grand Total (1 + 4) (5). Each table has rows A. TAA Funds Received to Date; B. Cumulative Obligations; C. Unobligated Balance; and D. Cumulative Accrued Expenditures.
5. Justification for Request.

CERTIFICATION: I certify that to the best of my knowledge and belief that the information provided herein is accurate and complete, and that report obligations are reflected in agency records.

Signature: [blank] Title: [blank] Date: [blank]

Persons are not required to respond to this collection of information unless it displays a currently valid OMB control number. Public reporting burden for this collection of information is estimated to average 2 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. [Respondent’s obligation to respond are required to obtain or retain benefits (Trade Adjustment Assistance Reform Act of 2002)]. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the U.S. Department of Labor, Division of Trade Adjustment Assistance, Room C-5311, Washington, D.C. 20210 (Paperwork Reduction Project 1205-0275).

Instructions for completing form ETA-9117

General Instructions

A separate funding template must be completed for each relevant fiscal year a State received program funds. For example, a State that received Trade Adjustment Assistance Program funding during the current fiscal year and two prior fiscal years, would be required to complete a template for each of the relevant fiscal years.

Trade Adjustment Assistance Program funds have a three-year life, the fiscal year in which they were allocated to the State, plus two subsequent fiscal years. For example, funds received during any given fiscal year are available for obligation and expenditure through September 30 of the succeeding two fiscal years, and all expenditures must be liquidated by December 31 of the third year. Grantees only have until the end of the life of the grant, September 30 of the third year, to fully expend the grant funds. Thereafter, they have 90 days to liquidate all accrued expenditures incurred prior to the end of the life of the grant. Grantees can not continue to obligate or expend funds after the end of the life of the grant unless they receive a written grant modification from the Grant officer that extends the life of the grant. Any remaining balances that are not liquidated by the end of the 3-year period will revert to the Treasury. States should not request additional funding if they have prior year funds available for obligation presuming the end of the life of grant has not occurred.

Specific Instructions

1. State - Self-explanatory.
2. Report Period Ending - Reflects the ending date of the month being reported.
3. Total Amount of Funds Requested - Self-explanatory.
4. Financial Data - This section reflects financial data on a fiscal year basis for TAA administration, job search and relocation allowances, and training as follows:

A. TAA Funds Received to Date - Enter the amount of Federally-obligated authority received by the State as of the end of the reporting period. Obligations can not exceed the amount of funds received by the State.

B. Cumulative Obligations - Represents the sum of accrued expenditures (Line D) plus the value of goods and services which have been ordered (purchase orders, contracts), but not received - also commonly referred to as undelivered orders or resources on order.

C. Unobligated Balance - Is equal to TAA Funds Received to Date minus Cumulative Obligations (Line A - Line B = Line C).

D. Cumulative Accrued Expenditures - Reflects cumulative accrued expenditures for each of the categories from the start of the fiscal year. Accrued expenditures represent the sum of cash disbursements made for goods and services received plus the value of goods and services received but not yet paid.

5. Justification for NOA - The justification should include:

(a) the number of existing enrollees that require additional funding under this request; the amount of funding needed to cover existing enrollees through the current fiscal year; and the amount of funding needed to cover remaining length of training beyond the current fiscal year for existing enrollees;

(b) the number of individuals with an approved training plan who have yet to enroll that require funding under this request; the amount of funding needed to cover these individuals through the current fiscal year; and the amount of funding needed to cover remaining length of training beyond the current fiscal year for these individuals;

(c) the number of individuals requesting job search and relocation allowances through the current fiscal year under this request;

(d) a certification listing which provides petition number, company name and location for individuals identified in the above-referenced categories who have requested training, job search and relocation allowances under this request;

(e) the projected number of individuals without an approved training plan that may require funding under this request; and the amount of funding needed to cover these individuals through the current fiscal year;

(f) a brief discussion of the conditions which give rise to the request; and

(g) the expected performance outcomes for individuals who have received a TAA program funded service (entered employment, retention and wage replacement).

Additional sheets may be attached for the justification, if necessary.