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

CLASSIFICATION

WIA Financial Reporting

CORRESPONDENCE SYMBOL

TMG

ISSUE DATE

June 23, 2000

RESCISSIONS

 

EXPIRATION DATE

Continuing

DIRECTIVE

:

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 16-99

 

TO

:

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

 

FROM

:

LENITA JACOBS-SIMMONS
Deputy Assistant Secretary

 

SUBJECT

:

Workforce Investment Act Financial Reporting

  1. Purpose. To transmit Workforce Investment Act (WIA) financial reporting requirements, including the OMB approved reporting formats and corresponding instructions.

  2. References. The Workforce Investment Act of 1998, PUBLIC LAW 105-220, dated August 7, 1998; Workforce Investment Act - Interim Final Rule, 20 CFR Part 652, et al., dated April 15, 1999; Training and Employment Information Notice (TEIN) No. 17-99, Job Training Partnership Act On-line Electronic Reporting, dated April 24, 2000; NOTICE OF OFFICE OF MANAGEMENT AND BUDGET (OMB) ACTION NO. 1205-0408, dated May 23, 2000.

  3. Background. Pursuant to 20 CFR 667.300, "All States and other direct grant recipients must report financial, participant, and performance data in accordance with instructions issued by DOL." Accordingly, the Department has developed modified Standard Form (SF) 269 reporting formats, and corresponding instructions, for capturing required financial data for each of the three WIA funding streams, Youth, Adult, and Dislocated Worker; plus, Local Administration, Statewide Activities (15% of Total Federal Allotment), and Statewide Rapid Response.

    Per OMB approval of these formats on May 23, 2000, the Employment and Training Administration has been working to expedite on-line electronic reporting capability for the States and other direct grant recipients. It is intended that on-line reporting will be accessible by the States for reporting expenditures against Youth funding stream allotments for the quarter ending June 30, 2000, which are due to be submitted no later than August 15. [Early implementing States will also need to report Adult and Dislocated Worker expenditures.] On-line reporting instructions and User's Guides are currently under development and will be forwarded as soon as completed.

  4. Financial Reporting Process. With the implementation of on-line reporting, States and direct grantees will have sole control over data entry. Passwords assigned to States pursuant to TEIN NO. 17-99 will permit access to the appropriate screens for WIA reporting, and assigned PINs will enable data certification. (States and/or other grant recipients who do not have Passwords or PINs can obtain such by contacting Thomas Martin at tcmartin@doleta.gov or 202-219-5731, x123.)

    Attached are the six required reporting formats which will soon be accessible via the Internet, as well as detailed instructions for the required data elements. States will be responsible for providing local areas with reporting requirements and due dates so as to meet the State level requirement for submitting data no later than 45 days after the end of each reporting quarter. Upon receipt of local area data, it will be the State's responsibility to aggregate it into the Youth, Adult, Dislocated Worker, and Local Administration formats, as appropriate. Two State-level formats, Statewide Activities and Statewide Rapid Response, must also reflect aggregate State-level data.

    Reporting is required quarterly for each funding source. This requirement will necessitate submittal of separate financial reporting formats for each source of funds available for expenditure under a WIA grant. The potential funding sources for reporting in program year (PY) 2000 are: PY 1998 and PY 1999 (JTPA funds transitioned into WIA), and PY 2000 (Youth funding stream and 25% Adult and Dislocated Worker); and beginning with the quarter ending December 31, 2000, also FY 2001 (75% Adult and Dislocated Worker.)

    Edit checks will be built into the system to alert States of incorrect or unacceptable data entries, as well as to flag entries which could possibly become compliance issues if expenditures continue at reported level. The edit checks will increase data quality and assist in achieving cost limitation compliance. Instructions explaining the edit checks will be forthcoming.

    After the data has been certified as complete and accurate by entrance of assigned PIN, it becomes available for Regional Office review and acceptance. In that process, Regions will frequently be in communication with the States in a continuing effort to maximize data integrity and to resolve any identified concerns. Ultimately, modifications as necessary must be made by the States.

  5. Action Required. The States are required to report on the attached formats via the electronic on-line system, beginning with data for the quarter ending June 30, 2000, which is due to be submitted no later than August 15. The three formats that could potentially contain data for the quarter ending June 30 are Local Youth Program Activities, Local Administration, and Statewide Activities. [Early implementing States will also need to report expenditures on Statewide Rapid Response, Local Adult Program Activities, and Local Dislocated Worker Program formats.] For subsequent quarters, all States are to submit data on all six formats, as appropriate.

    States are requested to immediately provide the information contained in this directive to State and local area officials who are responsible for administering the WIA programs, as well as to those specific individuals responsible for financial reporting.

  6. Inquiries. Questions concerning this directive should be referred to your Regional Office.

  7. Attachments. Six WIA reporting formats and corresponding instructions.

    1. STATEWIDE ACTIVITIES (15% of TOTAL FEDERAL ALLOTMENT), ETA 9076-A

    2. STATEWIDE RAPID RESPONSE, ETA 9076-B

    3. LOCAL ADMINISTRATION, ETA 9076-C

    4. LOCAL YOUTH PROGRAM ACTIVITIES, ETA 9076-D

    5. LOCAL ADULT PROGRAM ACTIVITIES, ETA 9076-E

    6. LOCAL DISLOCATED WORKER PROGRAM ACTIVITIES, ETA 9076-F