U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Washington, D. C. 20210

CLASSIFICATION

SESA Financial Reporting

CORRESPONDENCE SYMBOL

OFAM

ISSUE DATE

April 5, 2001

RESCISSIONS

 

EXPIRATION DATE

 

DIRECTIVE

:

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 17-00

 

TO

:

ALL STATE WORKFORCE LIAISONS
ALL STATE EMPLOYMENT SECURITY AGENCIES
ALL STATE WORKER ADJUSTMENT LIAISONS
ALL ONE-STOP CAREER CENTER SYSTEM LEADS

 

FROM

:

  Wendy L. McConnell for
LENITA JACOBS-SIMMONS
Deputy Assistant Secretary

 

SUBJECT

:

Automation of SESA Standard Form 269 Financial Reporting

 

  1. Purpose. To advise State Employment Security Agencies (SESAs) that web-based reporting of Standard Form (SF) 269 financial data into the Enterprise Information Management System (EIMS) will be accessible beginning with the quarter ending March 31, 2001.

    This applies to SESA administered Employment and Training Administration (ETA) programs for which SF 269 reporting is currently required. The automation implementation process is set forth in this directive.

  2. References. Training and Employment Guidance Letter (TEGL) No. 11-97, Welfare-to-Work Reporting, dated June 24, 1998, Training and Employment Information Notice No. 17-99, Job Training Partnership Act On-line Electronic Reporting, dated April 24, 2000 and TEGL No. 16-99, Workforce Investment Act Financial Reporting, dated June 23, 2000.

  3. Background. Attachment I contains a listing of the major ETA workforce security and trade programs administered by SESAs in Program Year (PY) 2000/Fiscal Year (FY) 2001. With the exceptions of Trade Adjustment Assistance (TAA) Training and the North American Free Trade Agreement - Transition Adjustment Assistance (NAFTA-TAA) Training programs, the SF 269 has been and will continue to be the required vehicle for financial reporting. To date, SESAs have been required to submit completed SF 269s to the Regions within 30 days after the end of each quarter, and the Regions have been responsible for inputting the data into Departmental accounting systems.

    In ETA's efforts to achieve web-based reporting for all States and other direct grant recipients, SESAs will be provided access to the EIMS for reporting SF 269 financial data for the quarter ending March 31, 2001. Financial reporting for Trade (TAA) Training and NAFTA-TAA Training programs will continue to follow currently required procedures for submittal of the TAA/NAFTA Financial Status Report/Request for Funds, ETA-9023. (The feasibility of converting these programs to SF 269 financial reporting is currently being explored in an attempt to provide consistency and simplicity for SESA financial reporting.)

    Reporting for both the Welfare-to-Work and the Workforce Investment Act programs have been web-based since inception. It is expected that many SESAs will be familiar with the electronic reporting process as related to either or both of the formula funded grants associated with these programs. On-line reporting instructions for both programs are referenced in 2. above.

  4. Implementation Process. Web-based data entry by SESAs will begin with PY 2000 and FY 2001 grants. Financial reporting for all prior year grants, for which funds are still available for expenditure, will continue under the current procedure of SF 269 submittal to the Regions. The Regions will retain responsibility for data entry on those grants until closed-out. For the PY 2000 and the FY 2001 grants, Regions will be requested to input data for the quarters prior to March 31, 2001 into EIMS, in order to provide a complete financial history for those grants.

    SESAs will be assigned passwords for data entry and PINs for data certification. In order to assign passwords and PINs, which will be issued prior to April 25, States will need to provide contact information as follows: Utilizing the Inventory Listing of Major ETA Workforce Security and Trade Programs Administered by SESAs, Attachment I, determine the most logical way to group programs for data entry and certification purposes. It will be an individual State choice as to how many or how few groupings are needed. (No program should appear in more than one grouping!!) For each grouping, provide the Contact Information requested on Attachment II. Contact information must be complete and identify the programs for which the contact information applies. Remember that the primary contact, to whom the PIN is issued, will be the individual responsible for data certification. This person should be a manager who is qualified to attest to the completeness and accuracy of the data, as well as determine who should certify data in his or her absence. Although the password will be assigned to the primary contact, it is intended to be shared with all individuals who have data entry responsibility for the programs identified on that contact sheet, including, but not limited to, the secondary contact.

    By entering the assigned password at the prompt (which will be identified in forthcoming on-line instructions), access will be granted into the EIMS. Upon selection of the program for which data is to be entered, the system will automatically provide software containing the required data elements and correspond-ing instructions. When the data have been certified by entering the assigned PIN, the system will alert Regions that the data are ready for review and acceptance. During the review process, Regional staff will communicate with SESA reporting contacts in an effort to achieve greater data integrity. SESAs will, however, have sole control over data entry. Both National and Regional Offices will have read only access to the data.

    ETA is currently developing on-line reporting instructions which will be provided to States prior to April 25, which is the anticipated date for the system to begin accepting data for the quarter ending March 31. ETA is also developing edit checks which will be built into the system to alert SESA reporting contacts of incorrect or unacceptable data entries. The edit checks are expected to contribute to greater data credibility, while providing SESAs with a mechanism for ensuring complete and mathematically correct data entry.

    Technical assistance and/or training will be provided as needed throughout the implementation process. A determination will be made, in conjunction with the Regions and based on State feedback, as to whether a round of training will be provided for all SESA reporting staff.

  5. Action Required. The SESAs are required to report SF 269 financial data for the quarter ending March 31, 2001 directly into the EIMS. The scheduled date for the States to begin on-line data entry is April 25 (this date to be confirmed in instructions provided by ETA.)

    Please forward the Contact Information, as specified in section 4, to Thomas C. Martin at tcmartin@doleta.gov, no later than April 13, with a copy to your Regional Office.

  6. Inquiries. Questions concerning this directive should be referred to your Regional Office. Questions concerning provision of e-mail addresses may be directed to Thomas Martin on 202-693-2989 or via e-mail.

  7. Attachments. 

    1. Inventory Listing of Major ETA Workforce Security and Trade Programs Administered by SESAs

    2. SESA Contact Information