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Financial Reporting

NEWS

On July 14, 2016, the U.S. Department of Labor (DOL) Employment and Training Administration (ETA) published Training and Employment Guidance Letter (TEGL) No. 02-16, Revised ETA-9130 Financial Report, Instructions, and Additional Guidance.

This TEGL informs the workforce system of updates to the ETA-9130 Financial Report and Instructions, and provides information and additional guidance regarding new and revised reporting requirements. The 9130 reporting instructions are the primary sources for detailed instructions to complete and submit financial reports, and this TEGL should be used as a supplemental resource. The appropriate program rules, regulations, and terms and conditions of the grant award may also contain specific reporting guidelines. Therefore, this TEGL does not contain information about all sections or line items on the 9130; rather it only covers areas where additional clarification or guidance will help ensure consistent and accurate financial reporting.

Effective Date

Grant recipients will be required to submit their financial information using the new ETA-9130 Financial Reports for all reporting periods beginning with the quarter ending on September 30, 2016. Training will be provided through WorkforceGPS. Please register at https://www.workforcegps.org/.

An ETA-9130 Financial Reporting Resources desk-aid is also made available.

Revised ETA-9130 Forms and Instructions

Revised ETA-9130 Forms and Instructions were made available for public comment, as required by the Paperwork Reduction Act (PRA), in a 60-day Federal Register Notice published at 80 FR 46337 from August 04, 2015 - October 5, 2015 and a 30-day notice published at 80 FR 80815 from December 28, 2015 - January 27, 2016. The Office of Management and Budget (OMB) approved the revised ETA-9130 on April 13, 2016 (OMB Control No. 1205-0461). A non-substantive change to the instructions was submitted and approved by OMB. This change extends the expiration date for use of the revised ETA-9130 through September 30, 2019.

ETA-9130 Financial Reporting System

ETA awards approximately $8 billion in formula and discretionary grants each year to an average of 1,000 recipients. Financial reports for each of these grants must be submitted quarterly on the ETA-9130 Financial Report through the e-Grants Federal Reporting System, an online ETA-9130 reporting system for recipients to enter and certify quarterly financial data. The ETA-9130 reporting instructions are the primary sources for detailed instructions to complete and submit financial reports. The appropriate program rules, regulations, and terms and conditions of the grant award may also contain specific reporting guidelines, additionally to the resources listed below.

Enrollment Form

The Financial Reporting Access Request Document is used to designate access to the on-line e-Grants Federal Reporting System to file ETA-9130 Financial Reports.

ETA-9130 Forms and Instructions

There are different variations of form ETA-9130, each pertaining to a specific program/funding stream. The instructions for the various ETA-9130 forms are not identical. Please ensure that you are using the correct ETA-9130 form and instructions.

Discretionary grants and any other grants not specifically listed below use the ETA-9130 Basic.

If your grant is through one of the specified DOL/ETA programs outlined below, please use the ETA-9130 unique to your program/fund stream.

RESOURCES

ACCESS the ETA Financial Reporting System

Alert Icon ALERT - QUARTER ENDING SEPTEMBER 30, 2016

Due to technical issues, the revised due date to submit the ETA-9130 Reports for the quarter ending September 30, 2016 is now COB December 15, 2016. This extension on only applicable to reports submitted for the quarter ending September 30, 2016.

Financial Reporting Locking Reminder:

Adjustments and/or corrections to a locked financial report must be made in the current quarterly financial report, as reports are cumulative. All adjustments/corrections must have an explanation in the remarks section. Exceptions to this internal control will be limited to closeout issues.

 

ETA RECIPIENT Financial Reporting System - This system is used to submit the required quarterly financial reports, and can only be accessed by the designated individual.

 

AUDIT REQUIREMENT REMINDER!

The standards set forth in Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards: 2 CFR Section C: Subpart F 200.501: Audit Requirements (OMB Circular No. A-133, subpart B.200 - Audit Requirements applies to monies awarded prior to 26 December, 2014), mandate that:


Non-Federal entities shall have a single audit conducted for that year if expending:

  • $500,000 or more in a year in Federal award/s (if awarded prior to 26 December 2014)

OR

  • $750,000 or more in a year in Federal award/s (if awarded after 26 December 2014)

Additionally, the submission of that audit report must take place within either:

  • 30 days after its receipt

OR

  • nine months after the end of the audit period

whichever option of the above two is earlier*

    * Unless a longer period is agreed to in advance by the cognizant agency (ex: your fiscal year ends on June 30, the report must be submitted to the Clearinghouse by March 30, of the next year)