Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees October 24, :00-1:15pm EST

2 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Welcome to Workforce 3 One! Welcome to Workforce 3 One!

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4 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees How To Participate in a Poll Welcome to Workforce 3 One!

5 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund GranteesPractice In the Chat Room, please type the name of your organization, your location, and how many people are attending with you today.

6 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Access to Webinar Resources WEBINAR RESOURCES: Recordings and transcripts are available within 2 business days after the event.

7 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund GranteesModerator Gina King Wells Office of Workforce Investment

8 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund GranteesPresenter Kevin Brumback Office of Grants Management

9 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund GranteesPresenter Maggie Ewell Office of Grants Management

10 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Learning Objectives  Describe general reporting requirements  5 elements in ETA 9130 instructions  Review specific items that are reported on the ETA 9130  Tips to avoid common reporting mistakes

11 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Workforce Innovation Fund  Authorized by the Full-Year Continuing Appropriations Act, 2011 (P.L )  $147 million in awards for Round 1  26 grants ranging from $1M to $12M  Grantees – State Workforce Agencies, Local WIBs, WIA Section 166 grantees

12 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees WIF: Financial and Administration Similar to other ETA grants: Uniform Administrative Requirements Federal Cost Principles Grant Agreement Financial Reporting Administrative costs & cap Monitoring Different than WIA Formula: Not funded under WIA No restrictions on activities Consortium grants Prior approval for equipment Creative Commons licensing Waivers

13 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Federal Requirements  Uniform Administrative Requirements  Grant Terms and Conditions  Cost Principals

14 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Financial Reporting  Required to submit quarterly financial reports  Basic ETA-9130  Separation of Formula and WIF funds and cost allocation

15 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Background  DOL Regulations –29 CFR  Grant Agreement Terms and Conditions

16 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees ETA-9130 Reporting Basics  BASIS - Accrual  FREQUENCY – Quarterly  DUE – 45 Days after quarter end  Submitted by prime grant recipient via online reporting system

17 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Accrued expenditures mean the charges incurred by the grantee during a given period requiring the provision of funds for: (1) goods and other tangible property received; (2) services performed by employees, contractors, sub- grantees, subcontractors, and other payees; (3) other amounts becoming owed under programs for which no current services or performance is required, such as annuities, insurance claims, and other benefit payments. Accrued Expenditures

18 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund GranteesObligation The amount of orders placed, contracts and subgrants awarded, goods and services received, and similar transactions during a given period that will require payment by a grantee during the same or a future period.

19 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Obligation vs. Accrual  Order placed -Delivery and payment will occur in future Obligation, not accrual - Delivery taken, payment in future Obligation Accrued expenditure  Payment & delivery simultaneous Obligation Accrued expenditure Cash disbursement

20 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees E-grants: Online Reporting System  Password and Pin Required –Primary Contact: Shantay Logan –Back up: Malone Avery  For technical issues contact helpdesk: or (202)  Access to all reports by sub accounts U.S. Department of Labor Grantee Reporting System Password: Login

21 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Modifying Reports  Access to reports –Before accepted by DOL –After accepted by DOL Remarks Recertify FPO  Locked Reports

22 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Polling Questions: True or False?  After a quarterly report has been locked it can be unlocked by your FPO.  If you use a cash-based system of accounting, you will need to change your system in order to report accruals on the ETA-9130.

23 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees The ETA 9130 Reporting Instructions

24 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Reporting Instructions: 5 Elements 1. Line data description –Narrative that describes expected data to be reported on line 2. Hard edit –Provides the rule for data on line. Error will occur if rule is not followed

25 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Reporting Instructions: Five Elements 3. Soft Edit –Provides rules that generally apply to data on line. Error is not received for data that does not comply with rule. 4.Caution –Accompany Soft Edits. If data does not comply with general rule stated as Soft Edit, explanation is required in remarks section

26 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees 5.Note –Provides additional information to consider if uncertain about data required for line. Reporting Instructions: 5 Elements

27 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees The ETA 9130 Reporting Form

28 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Items 1-9: Identifying Information  Background/general information  Majority of information is pre-entered  Check for accuracy –Subaccount number –Grant number  Final report? –Grant expired –Funds fully expended

29 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Item 10: Financial Transactions  4 major sections: –Federal Cash –Federal Expenditures and Unobligated Balance –Recipient Share –Program Income

30 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Item 10a-10c: Federal Cash  10a: Cash Receipts –What did you draw down from the PMS?  10b: Cash Disbursements –What cash has been paid out?  10c: Cash on Hand –Excess cash requirements apply

31 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Item 10a-10c: Federal Cash  Refers to FEDERAL cash only  Attention to detail is important  What happens if the Federal drawdown doesn’t match your records? Hmmm….

32 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Polling Questions: True or False?  The reporting quarter ends on Thursday. You initiated a draw down on Tuesday because payroll is processed on Friday. You should not report the funds drawn down on Tuesday because it will appear that you have excess cash on hand.  You can draw funds from multiple accounts via PMS to pay for costs associated with multiple grants as long as you track draw amounts and disbursements accurately.

33 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Items 10d-10i: Expenditures and Unobligated Balance  Begins with funds available for expenditure  Expenditures  Unliquidated obligations  Total Federal obligations  Amount available for other uses Federal Expenditures and Unobligated Balance

34 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees  Line 10d: Total Federal funds authorized –Data is pre-entered –Data based on award amount in Notice of Obligation (NOO) Items 10d-10i: Expenditures and Unobligated Balance

35 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees  Line 10e – 10g –Accrued expenditures captured –Administrative costs –Unliquidated obligations  Lines 10h – 10i –Automatic Calculations –Total Federal Obligations –Unobligated Balance Items 10e-10i: Expenditures and Unobligated Balance

36 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Inconsistencies: –Reported obligations tied to disbursements. –Expenditures tied to disbursements. –Budget categories are reported as obligations. Federal Expenditures and Unobligated Balance

37 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Items 10j-10n: Recipient Share  Match and Leveraged Resources

38 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees  Line 10j Total Recipient Share –Match requirement  Line 10k Recipient Share of Expenditures –Report leveraged resources regardless of whether match is required  Lines 10l -10n –Lines allow for reporting of leveraged resources in similar way as data in Federal expenditures section on form. Items 10j-10n: Recipient Share

39 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Inconsistencies: –Grantee does not report leveraged resources because there is no match requirement associated with the grant. –In-kind contributions are not supported by documentation. –Grantee would like to use stand-in costs to address questioned costs, but did not report leveraged resources over the life of the grant. Items 10j-10n: Recipient Share

40 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Items 10o-10q: Program Income  10o. Total Fed. Program Income Earned  10p. Program Income Expended  10q. Unexpended Program Income

41 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees  11a. Other Federal funds Expended 11. Additional Expenditure Data Required a. Other Federal funds expended Item 11: Additional Expenditure Data Required

42 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Items 12 and 13: Remarks and Certification  12. Remarks –Explanations regarding data  13 a-e. Certification: –Certify accuracy of the report –Confirm grantee contact information 12. Remarks: Attach any explanations deemed necessary or information required by Federal sponsoring agency in compliance with governing legislation: 13. Certification: I certify to the best of my knowledge and belief that this report is correct and complete and that all expenditures and unliquidated obligations are for the purposes set forth in the award documents. a. Typed or Printed Name and Title of Authorized Certifying Officialc. Telephone (Area code, number and extension) d. address b. Signature of Authorized Certifying Officiale. Date Report Submitted (Month, Day, Year)

43 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Accuracy is Critical  Incomplete or erroneous data and/or late submittal of reports impacts ETA’s financial credibility

44 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Have Policy Questions?  Initial Contact – Federal Project Officer  Online Training Modules 

45 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Online Training Resources Accrual Accounting Fiscal and Project Managers, as neededOnline training Applying for State/Local Government Indirect Cost Rate LWIB Fiscal ManagersOnline training Intellectual Property Project Managers of grants who are creating curricula, websites, or other products Online training Guidance on the Handling and Protection of Personally Identifiable Information (PII) Project Managers and Evaluators ETA Training and Employment Guidance Letter

46 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees E-grants: Online Reporting System  Password and Pin Required –Contact: Shantay Logan –Back up: Malone Avery  For technical issues contact helpdesk: or (202)  Access to all reports by sub accounts U.S. Department of Labor Grantee Reporting System Password: Login

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49 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees Access to Webinar Resources WEBINAR RESOURCES: Recordings and transcripts are available within 2 business days after the event.

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51 Basic ETA 9130 Reporting Requirements for Workforce Innovation Fund Grantees For more information about the Workforce Investment System:  Visit  Call US2-JOBS