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FY 2020 Trade Adjustment Assistance grant applications
Summary ETA gave state agencies instructions for submitting applications for FY 2020 Trade Adjustment Assistance Training and Other Activities grants through Grants.gov. The funds could cover training, job search, relocation, employment and case management services, and related administration. ETA now labels this advisory Canceled.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
TEGL No. 17-19
Date issued
April 28, 2020
Status
Withdrawn
ETA marks this listing entry Canceled as of October 24, 2026. The letter prints an expiration date of Continuing and does not identify a cancellation instrument.
Status last verified October 24, 2026
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CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Trade Adjustment Assistance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
OTAA
U.S. DEPARTMENT OF LABOR DATE
Washington, D.C. 20210 April 28, 2020
ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 17-19
TO: STATE WORKFORCE AGENCY ADMINISTRATORS
STATE WORKFORCE LIAISONS
AFFILIATE AMERICAN JOB CENTER MANAGERS
COMPREHENSIVE AMERICAN JOB CENTER MANAGERS
STATE WORKFORCE ADMINISTRATORS
STATE AND LOCAL WORKFORCE BOARD CHAIRS AND DIRECTORS
STATE LABOR COMMISSIONERS
RAPID RESPONSE COORDINATORS
TRADE ADJUSTMENT ASSISTANCE LEADS
FROM: JOHN PALLASCH
Assistant Secretary
SUBJECT: Fiscal Year (FY) 2020 Trade Adjustment Assistance (TAA) Training and Other
Activities (TaOA) Grant Management Guidance
1. Purpose. To assist State Workforce Agencies (SWAs) or agencies designated by Governors
as “Cooperating State Agencies” (CSAs) (also jointly referred to as “States,” “Recipients,”
“Grantees,” “Applicant,” or “You”) in gaining access to FY 2020 TAA Program TaOA funds
by completing and submitting Standard Form (SF) 424, Application for Federal Assistance,
through www.grants.gov.
2. Action Requested. SWA Administrators are requested to immediately provide copies of this
guidance to all staff involved in the preparation and submission of the SF-424s for TAA
Program grant awards. SWA Administrators are asked to ensure that the staff person or
persons responsible for performing these activities are fully aware of the required FY 2020
TAA Program TaOA grant application processes and timelines. The Department of Labor
(“Department,” or “Grantor”) is requesting that each SWA Administrator ensure that the SF-
424 for TaOA grant funding for their state is submitted to ETA via www.grants.gov within
30 calendar days from the issue date on this TEGL.
3. Summary and Background.
a. Summary - This guidance provides instructions to states on the required process for
accessing FY 2020 TaOA funds. TAA Program TaOA funds provided under this
grant award may be used to cover the cost of training, employment and case
management services, job search allowances, relocation allowances, and related state
administration. To access FY 2020 funds for Trade Readjustment Allowances (TRA)
and Alternative Trade Adjustment Assistance/Reemployment Trade Adjustment
RESCISSIONS EXPIRATION DATE
None Continuing
Assistance (ATAA/RTAA), states should continue to follow standard procedures, as
they have previously, and contact their assigned Federal Project Officer (FPO) if they
have questions regarding these funds.
b. Background - The Trade Act Title II, Chapter 2, established the Trade Adjustment
Assistance for Workers (TAA), ATAA, and RTAA programs. These programs,
collectively referred to as the Trade Adjustment Assistance Program (TAA Program),
provide assistance to workers who have been adversely affected by foreign trade.
Under Section 239 of the Trade Act, as amended, the states, as agents of the
Department, provide benefits and services to eligible workers certified to receive
TAA Program benefits. Each state provides these services through one or more state
agencies, one of which is designated as the CSA in an agreement between the state’s
Governor and the Secretary of Labor (Secretary); this agreement is known as the
Governor-Secretary Agreement 1. The Governor-Secretary Agreement explains
program requirements, limitations on the use of TaOA funds, and other important
grant provisions, including the TAA Program Annual Funding Agreement (AFA),
that states must comply with in order to access TAA Program funding. The Standard
Terms and Conditions template that governs the TAA Program grant award is
available at: https://doleta.gov/grants/resources.cfm. Attachment III of this TEGL sets
out the TAA Program Requirements.
The Department and each state must execute an AFA at the beginning of FY. As
detailed in Section 4.b below, each state must submit a signed Application for Federal
Assistance Standard Form-424 (SF-424) (Office of Management and Budget
Approval No. 4040-0004) through www.grants.gov in order to initiate the grant
award process, which culminates with the execution of the AFA.
4. Application and Grant Award Process.
a. Application Process - The Department strongly encourages states to begin the
submission process through www.grants.gov promptly, as it is often time consuming
and could take several weeks for successful completion. In addition to other
information requested on the SF-424, each state must: 1) enter the announcement
number of this TEGL, ETA-TEGL-NO-17-19, into the opportunity number field of
the application, and 2) enter the applicable amount set out for the state in Attachment
I of this TEGL as the estimated dollar amount of funds requested for FY 2020.
Attachment II of this TEGL provides detailed instructions for submitting the SF-424
and includes links to resources, including customer service contacts and other
information, available at www.grants.gov.
b. Grant Award Process - Upon receiving the application submitted by a state through
www.grants.gov, the Office of Grants Management (OGM), in conjunction with the
Office of Trade Adjustment Assistance, will review the application materials and
request revisions as necessary. Once approved, OGM will incorporate the application
1 In FY 2016, after the enactment of the TAARA 2015, the Department revised and entered into a new Governor-Secretary Agreement with each state.
with the AFA, which will be executed by the Department’s Grant Officer and
transmitted to the Authorized Organizational Representative and the Point of Contact
identified on the SF-424 submitted for your state. Any subsequent changes to the
information submitted on the SF-424 (people identified, address, etc.) must be
submitted to the Department as a request to modify the AFA via the assigned FPO.
Links to reporting databases, as well as general guidance on how to administer a grant
award, may be found in the Grantee Handbook available at:
https://doleta.gov/grants/award_management.cfm.
c. SF-424 TaOA Funding Estimates – Due to the flexible nature of the overall funding
scheme for TaOA activities, at the point in time in the FY that ETA issues this
guidance and the initial allocation guidance, we do not know the actual annual TaOA
award amounts for each state, thus a more flexible estimate is needed. Attachment I
of this TEGL sets out the amount that has been calculated by ETA for each state’s
SF-424 estimated funds request for this FY. This amount is provided specifically for
purposes of completing the SF-424. For the TAA program, the SF-424 Field 18
funding request is not determinative of the actual award amounts; however, Field 18
is important as it serves as a cap on the amount that ETA may distribute to the state
for the FY. In other words, the estimate on each state’s SF-424 must be higher than,
or at least equal to, the actual funds that will be awarded for the FY. Based on
experience with the funding process, ETA determines the estimates in Attachment I
by using both the funding formula factors and a standard 50 percent “cushion.” ETA
uses this method to reduce the likelihood that a state will need to amend and resubmit
its SF-424 during the FY grant cycle.
A state’s actual annual TaOA cumulative funding award is determined by ETA using
the funding formula set out in 20 CFR 618.910(f), including formula factors designed
to reflect current TaOA needs. As reflected in 20 CFR 618.900 et. seq., cumulative
annual TaOA funding is also impacted by the recalculation of the formula prior to the
award of funds later in the FY, and by any reserve funding requests, among other
things. 2 As a result of these adjustments during the FY, the formula based funding
estimates calculated early in the FY often vary from the actual award amounts
determined later in the FY.
As mentioned in Section 4.a. above, we request that states enter the amount of their
applicable estimate from Attachment I in Field 18 of the SF-424. Please note that if
at the time ETA awards TaOA funds in the Second Distribution or Final Distribution,
the amount a state entered in Field 18 of the SF-424 is lower than the cumulative total
of funds being awarded at that time, ETA will ask the state to submit a new SF-424
with a revised estimate in Field 18.
5. Inquiries. For further information about this announcement, please contact Rahel
Bizuayene, Grants Management Specialist, OGM, at (202) 693-3438. Applicants should e-
2
The regulations at 20 CFR 618.900 and 20 CFR 618.930 prescribe the timing for distribution of FY TaOA funds to states as follows: the Initial
Allocation, as soon as possible after the beginning of the FY, but not before the Department receives it full FY appropriation; the Second
Distribution by July 15 of each FY; and the Final Distribution of funds before the end of the FY. The terms “Actuals” or “Totals” relate to the
sum of the amounts provided in each distribution.
mail all technical questions to [email protected] and must specifically reference
ETA-TEGL-NO-17-19 along with their question(s), and include a contact name, fax, and
phone number with the inquiry. This TEGL is available at https://www.grants.gov.
6. References.
• Further Consolidated Appropriations Act of 2020, (Pub. L. 116-94), enacted on
December 20, 2019;
• Chapter 2 of Title II of the Trade Act of 1974, as amended (Pub. L. 93-618) (Trade
Act) (codified at 19 U.S.C. §§ 2271 et seq.);
• 20 CFR part 618, Trade Adjustment Assistance, Subpart I;
• Training and Employment Guidance Letter (TEGL) No. 15-12, Delivery of Benefits
and Services to Trade Adjustment Assistance (TAA) Program Recipients through the
American Job Center Network Delivery System;
• TEGL No. 05-15, Operating Instructions for Implementing the Amendments
to the Trade Act of 1974 Enacted by the Trade Adjustment Assistance
Reauthorization Act of 2015 (TAARA 2015), and its Change 1;
• TEGL No. 16-16, One-Stop Operations Guidance for the American Job
Center Network, and its Change 1;
• TEGL No. 17-16, Infrastructure Funding of the One-Stop Delivery System;
• TEGL No. 03-19, Real Property Under Employment and Training Administration-
Funded Grants;
• TEGL No. 10-19, Technical Assistance regarding the Submission Deadline for the
Unified and Combined State Plans under the Workforce Innovation and Opportunity
Act (WIOA) for Program Years (PYs) 2020-2023 and Other Related Requirements;
and
• TEGL No. 18-19, Initial Allocation of Fiscal Year (FY) 2020 Trade Adjustment
Assistance (TAA) Program Training and Other Activities (TaOA) Funds and Process
for Requesting TAA Reserve Funds.
7. Attachments.
• Attachment I: Estimated FY 2020 TAA Program TaOA Funding Levels, by State
• Attachment II: Additional Submission Instructions
• Attachment III: Program Requirements
ATTACHMENT I
Estimated Fiscal Year 2020 Trade Adjustment Assistance Program
Training and Other Activities (TaOA) Funding Levels, by State 1
State FY 2020 State Estimates
Alabama $3,736,593.00
Alaska $0
Arizona $2,086,047.00
Arkansas $8,266,188.00
California $60,065,318.00
Colorado $5,517,347.00
Connecticut $13,254,785.00
Delaware $0
District of Columbia $0
Florida $9,867,342.00
Georgia $15,866,837.00
Hawaii $826,784.00
Idaho $3,489,300.00
Illinois $28,807,442.00
Indiana $19,742,096.00
Iowa $9,612,318.00
Kansas $5,555,618.00
Kentucky $13,292,343.00
Louisiana $999,492.00
Maine $2,043,605.00
Maryland $5,188,827.00
Massachusetts $21,815,790.00
Michigan $20,024,211.00
Minnesota $16,971,974.00
Mississippi $1,461,531.00
Missouri $18,640,094.00
Montana $623,337.00
Nebraska $3,152,868.00
Nevada $0
New Hampshire $1,714,782.00
New Jersey $10,464,707.00
New Mexico $3,497,627.00
New York $23,803,227.00
North Carolina $12,087,471.00
North Dakota $1,103,412.00
Ohio $39,033,942.00
Oklahoma $5,959,221.00
Oregon $45,521,949.00
Pennsylvania $51,497,508.00
Puerto Rico $556,454.00
Rhode Island $959,640.00
South Carolina $14,265,897.00
South Dakota $2,143,304.00
Tennessee $8,952,644.00
Texas $30,672,416.00
Utah $3,800,615.00
Vermont $1,440,524.00
Virginia $17,406,017.00
Washington $25,891,233.00
West Virginia $14,158,136.00
Wisconsin $8,981,198.00
Wyoming2 $0
US Total $614,820,011.00
1 States are requested to enter the amount set out in this chart for their state on their Application for Federal Assistance, SF-424 as the FY 2020 TaOA
estimated funding. These estimated amounts are consistent with §§20 CFR 618.910-930. Section 4.c. of this guidance provides additional information
about how the estimated amounts are calculated. Throughout the FY, ETA will calculate actual amounts for each state for the Initial Allocation, Second
Distribution, and Final Distribution and inform states of these amounts via guidance. TaOA funds are subject to the Balanced Budget and Emergency
Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011 (BCA) (also known as sequestration), which requires a reduction
in the TaOA funding authority for FY 2020 of 5.9 percent. Actual TaOA funding amounts for each state will reflect reductions to TaOA funding due to
sequestration, as well as any funds awarded to states during the FY through reserve requests.
2 The Department approved Wyoming’s request for $36,995 in FY 2020 TaOA reserve funds, so Wyoming entered that amount on its FY 2020 SF-424.
ATTACHMENT II
Additional Submission Instructions
1. Introduction. Recognizing that submission of documentation for TAA Program TaOA funds
for FY 2020 through www.grants.gov is the same procedure the Department instructed
grantees to follow to apply for FY 2019 TaOA funds, the following is provided to augment the
instructions available on the www.grants.gov website.
In the event you encounter a problem with your submission via the www.grants.gov website
and do not find a resolution in any of the other resources, call the www.grants.gov support
center for assistance at 1-800-518-4726 or 606-545-5035, to speak to a customer support
representative or email [email protected]. The www.grants.gov contact center is open 24
hours a day, seven days a week; however, it is closed on federal holidays. Note: The links in
the sections below require Internet Explorer version of IE11 or higher, Chrome, or Firefox.
Please use one of these browsers to access the information available on the link.
2. Timely SF-424 Submissions. The deadline for submitting SF-424s via www.grants.gov for
TAA TaOA funding is 30 calendar days from the issue date of this guidance. States are
strongly advised to initiate the application submission and validation process via
www.grants.gov as soon as possible and to plan for time to resolve technical problems. Since
it is the state’s responsibility to ensure a timely submission of their SF-424, states are
encouraged to allot time for submission (two business days) and, if applicable, additional time
to address errors and receive validation upon resubmission (an additional two business days
for each ensuing submission). Only applications that have been successfully submitted in
www.grants.gov by the deadline, which is 30 calendar days from the issue date of this
guidance, and subsequently successfully validated by www.grants.gov, will be considered
timely. Please note, validation in www.grants.gov does not mean the state’s application has
been accepted as complete or has been accepted for review. Rather, www.grants.gov only
verifies the submission of certain parts of the application.
3. How to Submit an Application. Applicants can apply on www.grants.gov using Workspace,
https://www.grants.gov/web/grants/applicants/workspace-overview.html. Workspace is a
shared online environment that allows organizations or individuals to apply for federal grants
by enabling simultaneous access and edit of different forms within a single application. To
access complete instructions on how to apply for opportunities, see
https://www.grants.gov/web/grants/applicants/apply-for-grants.html. To apply for FY 2020
TaOA grant funds once you have logged into Workspace, select Search Grants at:
https://www.grants.gov/web/grants/applicants/apply-for-grants.html, and enter ETA-TEGL-
NO-17-19 in the Opportunity Number field of the Basic Search Criteria box. Be careful to use
the specific syntax: ETA-TEGL-NO-17-19.
4. Important Information.
• Completing your grant application requires you to enter your organization’s
Authorized Organizational Representative (AOR) Username and Password. If you do
not have the AOR’s Username and Password, please register as a new user here:
https://apply07.grants.gov/apply/register.faces. Note, if you already have a
www.grants.gov account and know or can retrieve your AOR’s logon information
using the Forgot Username or Password function, you do not need to register another
account to apply for FY 2020 TaOA grant funds.
ATTACHMENT II
Additional Submission Instructions
• When you submit your application via www.grants.gov, an electronic time stamp is
generated within the system when the application is successfully received by
www.grants.gov. Grants.gov will send the applicant AOR an email
acknowledgement of receipt and a tracking number, e.g., (GRANTXXXXXXXX),
with the successful transmission of the application, serving as proof of their timely
submission. During this process, the applicant will receive two email messages to
provide the status of the application’s progress through the system.
o The first email, sent almost immediately, will contain a tracking number
and will confirm receipt of the application by www.grants.gov.
o The second email will indicate that the application has either been
successfully validated or has been rejected due to errors.
• Each applicant must be registered in the System for Award Management (SAM) at:
https://sam.gov/SAM/, (access requires Internet Explorer version of IE11 or higher,
Chrome, or Firefox). SAM.gov is an official government website that allows you to:
1) register to do business with the U.S. government; 2) update or renew your entity
registration; 3) check status of an entity registration; or 4) search for entity
registration and exclusion records. Applicants must have an active registration in
SAM to complete the SF-424. If the applicant’s registration in SAM is expired,
www.grants.gov will reject the application.
• To ensure consideration, the components of the application must be saved as .doc,
.docx, .xls, .xlsx, .rtf, or .pdf files. If submitted in any other format, the applicant
bears the risk that compatibility or other issues may prevent a state’s application from
being considered. The Department will attempt to open the document, but will not
take any additional measures in the event of problems with opening it (i.e.,
conversions of any kind).
• The Department strongly advises applicants to use the various tools and documents,
including Frequently Asked Questions that are available on the “Applicant
Resources” page at: https://www.grants.gov/web/grants/applicants/applicant-
faqs.html.
• To receive updated information about critical issues, new tips for users, and other
time sensitive updates as information becomes available, you may subscribe to
www.grants.gov updates at: https://www.grants.gov/web/grants/manage-
subscriptions.html.
ATTACHMENT III
Program Requirements
A. Overview. The TAA Program includes training, employment and case management
services, job search allowances, relocation allowances, Trade Readjustment Allowances
(TRA), Alternative Trade Adjustment Assistance (ATAA), and Reemployment Trade
Adjustment Assistance (RTAA). TAA Program TaOA funds provided under this grant
award may be used to cover the cost of training (and related costs), employment and case
management services, job search allowances, relocation allowances, and related state
administration. Funds for TRA, ATAA, and RTAA are governed by the terms and
conditions of the Unemployment Insurance AFA.
B. States’ Responsibilities. TEGL No. 16-16, One-Stop Operations Guidance for the
American Job Center (AJC) Network, provides guidance on states’ responsibilities for
ensuring that the Workforce Innovation and Opportunity Act (WIOA) partner programs are
integrated into the AJC network, also known as the one-stop system. The TAA Program is a
required one-stop partner under the WIOA statute and regulations. As a WIOA required
partner, the TAA Program is responsible for providing access to TAA benefits and services
to adversely affected workers through the AJC network. As explained in the Required
Elements for Submission of the Unified and Combined State Plan and Plan for Modifications
under WIOA, under WIOA and the Trade Act, as amended, states must integrate TAA
services into their one-stop delivery system; provide rapid response and appropriate career
services to worker groups on whose behalf a petition has been filed; and disseminate benefit
information that provides workers an accurate understanding of the TAA Program’s benefits
and services in such a way that it is transparent to the worker applying for them. States must
also use their state’s AJCs as the main point of contact for participant intake and delivery of
TAA benefits and services. For additional information about this and other State Plan
requirements, see TEGL No. 10-19, Technical Assistance regarding the Submission Deadline
for the Unified and Combined State Plans under the Workforce Innovation and Opportunity
Act (WIOA) for Program Years (PYs) 2020-2023 and Other Related Requirements.
1) Program Access
If the TAA Program is carried out in a local area, the state must provide access to the
TAA Program services in at least one of the local area’s comprehensive one-stop centers
in accordance with 20 CFR678.305(d) and with WIOA sec. 121(b)(1)(A)(i). Access to
the TAA Program occurs in one of three ways:
a) Option 1: Having a program staff member physically present at the one-stop;
b) Option 2: Having a staff member from a different partner program physically
present at the one-stop center appropriately trained to provide information to
customers about the programs, services, and activities available through all
partner programs; or
c) Option 3: Making available a direct linkage through technology to a program
staff member who can provide meaningful information or services.
The options above offer a wide range of possibilities to partners. Option 2 could require
varying levels of assistance depending on the trade-affected worker’s needs. For
ATTACHMENT III
Program Requirements
example, this could be as simple as having an adequately trained one-stop center staff
member providing basic program information to a one-stop customer regarding group
and individual eligibility requirements of the TAA Program. In this example, the partner
staff member has been trained on TAA Program eligibility requirements, as well as how
to search for and file a TAA petition. Once the Department renders a determination on a
petition, the partner staff member will connect the worker to appropriately trained one-
stop center staff who can further assist them. If the petition is certified, the worker is
eligible to apply for individual benefits and appropriately trained one-stop center staff
must guide them through the application and enrollment process. This option allows the
customer to receive high-quality service through the one-stop center, in a timely manner.
For example, this could be as simple as having an adequately trained one-stop center staff
member providing basic program information to a one-stop customer regarding group
and individual eligibility requirements of the TAA Program.
The third option, Option 3, a direct linkage, can take many forms as well. As described
in 20 CFR 678.305(d)(3), a “direct linkage” means providing a direct connection at the
one-stop center within a reasonable time, by phone or through a real-time web-based
communication, to a program staff member who can provide program information or
services, including career services, to the customer. Solely providing a phone number,
website, information, pamphlets, or materials does not constitute a “direct linkage.”
The flexibility provided through the three optional methods for assuring customer access
to required one-stop center partner services and activities at the comprehensive centers
ensures that the TAA Program remains accessible through the one-stop center network.
2) Compliance with Regulations and Guidance
In performing its responsibilities under the Governor-Secretary Agreement, as a
condition for receipt of funds, the state agrees to fully comply with all program
regulations and administrative directives, including, but not limited to:
a) 20 CFR part 617, 29 CFR part 90, and 20 CFR part 618 and any succeeding
regulations governing the TAA Program;
b) Joint WIOA Final Rule, as applicable, published in the Federal Register at:
https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-15977.pdf;
c) Department-Only WIOA Final Rule, as applicable, published in the Federal
Register at: https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-15975.pdf;
d) Further Consolidated Appropriations Act, 2020, Division A, Title I, (Pub. L. 116-
94), enacted December 20, 2019;
e) 2 CFR part 200 (Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards) and 2 CFR part 2900 (Department’s
Supplement to 2 CFR part 200);
f) Chapter 2 of Title II of the Trade Act of 1974, as amended (Pub. L. 93-618)
(Trade Act) (codified at 19 U.S.C. §§ 2271 et seq.);
g) Trade Adjustment Assistance Reform Act of 2002, Division A, Title I, Subtitle A
of the Trade Act of 2002 (Pub. L. 107-210) (as amended by the Miscellaneous
ATTACHMENT III
Program Requirements
Trade and Technical Corrections Act of 2004 (Pub. L. 108- 429)) (TAARA);
h) Trade and Globalization Adjustment Assistance Act of 2009, Division B, Title I,
Subtitle I of the American Recovery and Reinvestment Act of 2009 (TGAAA)
(Pub. L. 111-5);
i) Trade Adjustment Assistance Extension Act of 2011 (Pub. L. 112-40) (TAAEA);
j) Balanced Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as
amended by the Budget Control Act of 2011 (BCA);
k) Trade Adjustment Assistance Reauthorization Act of 2015 (Pub. L. 114-27, Title
IV) (TAARA 2015);
l) TEGL No. 15-12, Delivery of Benefits and Services to Trade Adjustment
Assistance (TAA) Program Recipients through the American Job Center Network
Delivery System;
m) TEGL No. 05-15, Operating Instructions for Implementing the Amendments to the
Trade Act of 1974 Enacted by the Trade Adjustment Assistance Reauthorization
Act of 2015 (TAARA 2015) and its Change 1;
n) TEGL No. 16-16, One-Stop Operations Guidance for the American Job Center
Network, and its Change 1;
o) TEGL No. 17-16, Infrastructure Funding of the One-Stop Delivery System;
p) TEGL No. 03-19, Real Property Under Employment and Training Administration-
Funded Grants;
q) TEGL No. 10-19, Technical Assistance regarding the Submission Deadline for the
Unified and Combined State Plans under the Workforce Innovation and
Opportunity Act (WIOA) for Program Years (PYs) 2020-2023 and Other Related
Requirements; and
r) TEGL No. 18-19, Initial Allocation of Fiscal Year (FY) 2020 Trade Adjustment
Assistance (TAA) Program Training and Other Activities (TaOA) Funds and
Process for Requesting TAA Reserve Funds.
3) Compliance with Requirements
In performing its responsibilities under this award, the state hereby certifies and assures
that it will fully comply with the following requirements:
a) Real Property. The requirements and restrictions related to real property in 2 CFR
200.439, including compliance with 2 CFR 200.439(b)(3), provide that capital
expenditures for improvements to land or buildings, which materially increase
their value or useful life, are unallowable as a direct cost, except in cases where
the Grant Officer has granted prior written approval.
The reqirements relating to Real Property, above and explained in TEGL No. 03-
19, Real Property Under Employment and Training Administration-Funded
Grants for WIOA, apply. This guidance provides information on using ETA grant
funds for capital expenditures and other real property costs, depreciation,
maintaining insurance, handling idle facilities and idle facility capacity, retaining
records, disposing of real property acquired with ETA grant funds; renting real
ATTACHMENT III
Program Requirements
property, and using and disposing of SWA real property that has DOL equity or
Reed Act equity.
b) Equipment. Equipment purchases under the TAA Program are subject to the
provisions at 2 CFR 200.313. Consistent with 2 CFR 2900.16, the Department
delegates the authority of prior approval to the Governor for equipment purchases
made using TaOA funds. Note: WIOA delegates authority of prior approval to
the Governor for equipment purchases, with the exception of construction related
expenses, DOL reserves its right to prior approval for such expenses/projects, see
2 CFR 683.235. Requests for approval for construction related expenses must
come to the Secretary of Labor for prior approval.
c) Oversight Roles and Responsibilities. Each recipient and subrecipient of funds
under the Trade Act, as amended, must conduct regular oversight and monitoring
of its program and those of any subrecipients and contractors as required under
WIOA sec. 239(i) , as well as under 2 CFR part 200, including 2 CFR 200.328,
200.330, 200.331, and Department exceptions at 2 CFR part 2900, in order to:
i. determine that expenditures have been made against the proper cost
categories and within the cost limitations specified in the Act, the
regulations, and administrative guidance;
ii. determine whether there is compliance with other provisions of the Act,
the regulations, and administrative guidance;
iii. assure compliance with 2 CFR part 200 and the Department’s exceptions
at 2 CFR 2900; and
iv. determine compliance with the nondiscrimination, disability, and equal
opportunity requirements of sec. 188 of WIOA, including the Assistive
Technology Act of 1998 (29 U.S.C. 3003).
d) Procedures and Resolution of Findings.
i. Resolution of subrecipient-level findings.
(1) The Governor is responsible for resolving findings that arise from the
monitoring reviews, investigations, other Federal monitoring reviews, and
audits (including under 2 CFR part 200) of subrecipients awarded funds
through the Trade Act, as amended.
(a) A state must use the written monitoring and audit resolution, debt
collection and appeal procedures that it uses for other Federal grant
programs.
(b) If a state does not have such written procedures, it must prescribe
standards and procedures to be used for this grant program.
(2) For subrecipients awarded funds through a recipient of grant funds, the
direct recipient of the grant funds must have written monitoring and
resolution procedures in place that are consistent with 2 CFR part 200.
ATTACHMENT III
Program Requirements
ii. Resolution of state findings.
(1) The Secretary is responsible for resolving findings that arise from
Federal audits, monitoring reviews, investigations, incident reports, and
audits under 2 CFR part 200 for direct recipients of Federal awards under
the Trade Act, as amended.
(2) The Secretary will use the Department’s audit resolution process,
consistent with 2 CFR part 200, Subpart F.
(3) A final determination issued by a Grant Officer under this process may
be appealed to the Department’s Office of Administrative Law Judges
under the procedures in 2 CFR 2900.22.
e) Nondiscrimination. Requirements and restrictions for nondiscrimination and
equal opportunity, which are provided in 29 CFR part 38, Implementation of the
Nondiscrimination and Equal Opportunity Provisions of WIOA.
C. Use of Funds. Funds obligated under this grant award may be used for training (and related
costs), employment and case management services, job search allowances, relocation
allowances, and related state administration costs incurred in the provision of TAA Program
benefits and services to trade-affected workers in accordance with the requirements of the
Trade Act, as amended, in effect at the time of filing of the petition under which the workers
are covered. The following limitations apply to FY 2020 appropriated funds awarded to the
state under this grant award:
1) State expenditures for employment and case management services costs must not be
less than, but may exceed 5 percent of TaOA funds awarded in a FY, and;
2) State expenditures for related state administration costs must not exceed 10 percent of
the total amount of TaOA funds awarded in a FY. Note: If the state does not use the
entire 10 percent of funds allocated for related state administration, the state may use
the remainder for allowable activities within the rest of TaOA, such as employment and
case management, training, and job search and relocation allowances.
D. Deobligation of Funds. The Recipient agrees to accept a deobligation of the TaOA funds,
as set forth in the Notice of Award, in the event of underutilization of those funds. The
Grantor will consider underutilization of TaOA funds to exist when the Recipient will be
unable to use some or all of the unexpended and/or unobligated balance of such funds
provided to the recipient within a reasonable period of time. Underutilized funds will be
recaptured only after notification to and consultation with the Recipient.
E. Recapture and Reallotment of FY Funds. In addition to the information provided in the
deobligation of funds clause above, section 245(c) of the Trade Act of 1974, as restored by
the TAARA 2015, provides that the Secretary may recapture and reallot funds that were
allotted to any state to carry out employment and case management services, training, job
search allowances, and relocation allowances, that remain unobligated by the state during the
second or third fiscal year after the funds were obligated.
F. Remedies. All TAA Program funds must be expended in accordance with the provisions of
the AFA and any special terms and conditions of approved funding requests. Any
expenditure of funds that does not comply with these provisions will be subject to the
ATTACHMENT III
Program Requirements
enforcement remedies at 2 CFR 200.338 and 20 CFR 617.52(c) and 617.59(f), or any
succeeding regulations. The state will take such action as is reasonably necessary to recover
for the account of the United States all amounts paid out as program benefits or services that
were erroneously paid to ineligible claimants or others, and to restore any losses or
misapplication of funds allocated to the state for TAA Program benefits or services.
G. Merit Staff. The state agrees that staff employed to carry out state administration of the
TAA Program and funded by the TAA Program, will comply with 20 CFR 618.890.
H. Administrative and Program Costs. The administrative cost limit of the FY 2020 TaOA
funding allocation is explained above in paragraph C of this Attachment III, with which
states must comply. For purposes of the TAA Program, the costs of administration are the
costs associated with performing the following:
1) Administrative Costs: Overall general administrative functions of the TAA Program
and the coordination thereof within the one-stop center network established under
WIOA:
i. Accounting, budgeting, financial, and cash management functions;
ii. Procurement and purchasing functions;
iii. Property management functions;
iv. Personnel management functions;
v. Payroll functions;
vi. Coordinating the resolution of findings arising from audits, reviews,
investigations and incident reports;
vii. Audit functions;
viii. General legal services functions;
ix. Developing systems and procedures, including information systems,
required for these administrative functions;
x. Processing applications for benefits under the Trade Act, as amended;
xi. Rendering and issuing eligibility determinations under the Trade Act, as
amended;
xii. Processing waivers of training requirements under section 231 of the
Trade Act, as amended;
xiii. Collecting, validating, and reporting data required under the Trade Act, as
amended;
xiv. Administering Reemployment Trade Adjustment Assistance (RTAA)
under section 246 of the Trade Act, as amended;
xv. Performing oversight and monitoring responsibilities related to
administrative functions;
xvi. Costs of goods and services required for administrative functions of the
program, including goods and services such as rental or purchase of
equipment, utilities, office supplies, postage, and rental and maintenance
of office space;
xvii. Travel costs incurred for official business in carrying out administrative
activities or the overall management of the TAA Program; and
ATTACHMENT III
Program Requirements
xviii. Costs of information systems related to administrative functions (for
example, personnel, procurement, purchasing, property management,
accounting and payroll systems), including the purchase, systems
development and operating costs of such systems.
xix. Specific costs charged to an overhead or indirect cost pool that can be
identified directly as a program cost are to be charged as a program cost.
Documentation of such charges must be maintained. (Not all indirect
costs are administrative and not all administrative costs are indirect).
Wherever possible, states must make efforts to streamline the
administrative activities and services referenced in this section by
minimizing duplication, effectively using information technology to
improve services and leveraging resources across programs.
2) Program Costs: TAA Program TaOA funds provided under this grant award may be
used to cover the cost of training (and related costs), employment and case
management services, job search allowances, relocation allowances, and related state
administration. As explained in paragraph C. of this Attachment III, state
expenditures for employment and case management services costs must not be less
than, but may exceed, 5 percent of TaOA funds awarded in a FY. States may use
funds provided under this grant for expenditures related to improvements to
information systems capabilities, including the purchase, systems development, and
operational costs (e.g., data entry), and costs related to the activities beloware charged
to the program cost category:
a) Tracking or monitoring of participant and performance information, including
employment and case management services and activities; and
b) Tracking or reporting employment statistics information, including job listing
information, job skills information, and demand occupation information.
States should consult the appropriate Regional Office for additional technical
assistance related to classification of costs under the Trade Act, as amended.
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