Instructions for the JTPA Title II quarterly financial status report

U.S. Department of Labor
Employment and Training Administration
Washington, D.C. 20210

Classification: JTPA/JQSR
Correspondence symbol: TDCR
Issue date: July 28, 1998
Rescissions: TEIN 6-93, Change 1 and 2
Expiration date: Continuing

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 02-98

TO: ALL STATE JPTA LIAISONS; ALL STATE WORKER ADJUSTMENT LIAISONS; ALL ONE-STOP CAREER CENTER SYSTEM LEADS; ALL STATE EMPLOYMENT SECURITY ADMINISTRATORS

FROM: DAVID HENSON, Director, Office of Regional Management

SUBJECT: Instructions for Title II Job Training Partnership Act (JTPA) Quarterly Financial Status Report

1. Purpose. To transmit the OMB approved changes to the Title II
   JTPA Quarterly Financial Status Report (JQSR) and instructions for
   the JQSR for use by the States.

2. References.

   1. Job Training Partnership Act (JTPA) final regulations at 20 CFR
      Section 627.455 and 627.904;

   2. TEGL No. 4-97, "Calendar Year 1998 Summer Youth Employment and
      Training Program"; and

   3. TEGL No. 7-95, "JTPA Intertitle Transfer of Funds".

3. Background. The JQSR for the Title II program under the JTPA, as
   amended, displays cumulative data on fund availability and accrued
   expenditures for Title II formula funded programs.

4. OMB Approval and Reporting Burden. The JQSR data collection
   instrument and instructions have been approved by OMB according to
   the Paperwork Reduction Act of 1980, as amended. The JQSR report has
   been approved under OMB Approval No. 1205-0323, with an expiration
   date of 07/31/2000.

5. Reporting Requirements. A separate JQSR must be submitted for
   each Program Year (PY) of funds for Titles II-A/II-C and each Fiscal
   Year (FY) of Title II-B funds, cumulative for the life of the funds.
   The JQSR is due in the Regional Offices no later than 45 days after
   the end of each PY quarter. A final JQSR is due once all funds
   allotted in a program year or fiscal year (II-B) have been expended
   but no later than 90 days after the expiration of the period of fund
   availability for a program/fiscal year's funds. The quarterly due
   dates are 11/15, 2/15, 5/15 and 8/15. Following are revisions which
   were made to the JQSR:

   (1) Line 5, Total Expenditures, was changed to add "SUM OF LINES
   6, 7, 8, 9, 13, AND 20"; and

   (2) Section VII, TITLE II-A/TITLE III TRANSFERS, was added to
   report intertitle transfers on LINE 37.

   In preparing this report, transfers for Titles II and III should be
   reported in accordance with the instructions provided in TEGL 7-95
   on JTPA Intertitle Transfers. In addition, all fiscal year transfers
   for Title II-B and program year transfers for Title III must be
   reflected in the overall total for Line 2, Column D, and Line 18,
   Column D of the JQSR.

   The approved instructions for completion of the JQSR are attached.

   In compliance with the Paperwork Reduction Act of 1980, ETA
   continues to encourage States to transmit the JQSR data
   electronically. States may continue to submit this data on floppy
   disk or by electronic mail using the ASCII data format in
   Attachment II. Starting in the first quarter of PY 1998, States will
   be provided with the option to submit reports via the Internet in a
   Year 2000 compliant format. New reporting procedures will be
   forwarded once they are finalized.

6. Action Required. State JTPA Liaisons are requested to distribute
   the attached JQSR instructions to all officials within the State who
   need such information to implement the JQSR reporting requirements.

7. Inquiries. Questions concerning this TEGL and problems
   associated with transmittal of data should be directed to your
   Regional Office.

8. Attachments.

   1. JTPA Title II Quarterly Status Report and Instructions for
      Completion of the JQSR

   2. JQSR Fixed Record Format

Attachment I: JTPA Title II Quarterly Status Report and instructions

JTPA TITLE II QUARTERLY STATUS REPORT

1. Purpose. The JTPA Title II Quarterly Status Report (JQSR)
   for the Title II programs under the Job Training Partnership Act (JTPA), as amended by the Job Training Reform Amendments of 1992, displays cumulative data on fund availability and accrued expenditures for the three components of the formula-funded Title II. In addition, data on total participants and total terminations for these components, program income, and recipient/subrecipient funds expended for JTPA programs are reported on the form.

2. General Instructions. A single JQSR will be submitted by
   the Governor each quarter, beginning with the first quarter of PY 1997, for each grant. Available and expended funds are to be tracked separately by the annual JTPA grant and are to be reported cumulatively from the time of initial allotment until they are all expended. Available funds are initially allotted funds adjusted for subsequent reallocations and reallotments (II-A and II-C only). A program year’s funds are available for expenditures for up to three years, the program year of funding and the two subsequent program years. Fiscal year Title II-B funds are available for expenditure for up to five years. As a condition of the JTPA grants, States are obligated to comply with these reporting requirements in order to obtain benefits, except for PY 1997, for which compliance is requested.

Each report period is related to the quarters of the program year. REPORTS ARE DUE IN THE REGIONAL OFFICE NO LATER THAN FORTY-FIVE (45) DAYS AFTER THE END OF EACH PROGRAM QUARTER, i.e., submitted no later than 11/15; 2/15; 5/15; and 8/15. Failure to submit the JQSR could delay funding for PY 1998.

A FINAL REPORT is due once all funds allotted in a program/fiscal year have been expended, but no later than 90 days after the expiration of the period of fund availability for a program year’s funds. (Sec. 627.455 of regulations)

Expenditures reported on the JQSR will be compiled on an accrual basis. If the recipient’s accounting records are not normally maintained on an accrual basis, the accrual information should be developed through an analysis of the records on hand or on the basis of best estimates. Accrued expenditure information (as defined at Sec. 626.5 of the regulations) is to be reported cumulatively against the available program/fiscal year allotment from which they were drawn.

SPECIAL NOTE: All availability and expenditure entries on the JQSR will be made to the nearest dollar. Negative entries are not acceptable except where noted in the line-by-line instructions. For the most part, revisions should be reflected in the cumulative figures included in the next quarterly report and an explanation provided in the remarks section. Revisions to the final report for an annual grant may be submitted until the closeout of the grant has been completed.

One copy of the JQSR is to be provided to the appropriate Regional Administrator for Employment and Training in the DOL Regional Office that includes the State in which the grant recipient is located.

DOL encourages respondents to submit data using the ASCII data format in Attachment II. Grant recipients may determine whether the JQSR is submitted on the actual ETA form or as a computer printout, with data arrayed as indicated on that format, including identification and signature blocks.

3. Facsimile of Form. See the following pages.

JTPA Title II Quarterly Status Report, ETA 9040 (Rev. April 1997)

U.S. Department of Labor, Employment and Training Administration. OMB No. 1205-0323; expires 07/31/2000.

Fields: a. Recipient's Name and Address; b. Quarterly or Final; c. Recipient's Grant No.; d. Report Period (From, To). Columns: II-A (A), II-B (B), II-C (C), Title II Total (D).

Remarks. Certification: I certify to the best of my knowledge and belief that this report is correct and complete and that all costs are for the purposes specified in the JTPA, as amended. e. Signature and Title; f. Date Signed; g. Telephone No.

Certification for the entire form is found on the front of this form.

Persons are not required to respond to this collection of information unless it displays a currently valid OMB control number. Respondent's obligation to reply to these reporting requirements are required to obtain or retain benefits (PL 97-300). Public reporting burden for this collection of information is estimated to average 4 1/2 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Labor, Office of Job Training Programs, Room N-4456, Washington, D.C. 20210 (Paperwork Reduction Project 1205-0323).

Instructions for Completion of the Title II JTPA Quarterly Status Report

NOTE:

1. A separate report will be submitted for each annual
   grant (corresponding to the funding program year) on a quarterly basis, until such time as the funds allocated under the grant have been expended and a final report for such funds submitted. A separate JQSR will be submitted for each fiscal year of funds for the Title II-B program. All financial data will be reported on a cumulative basis from the beginning of the grant.

2. All availability and expenditure entries will be
   reported to the nearest whole dollar. Expenditures reported will be compiled on an accrual basis. Accrued expenditure information is to be completed cumulatively through the end of each program report period from the designated beginning of the grant.

3. Entries showing Title II Totals (II-A plus II-C) are to
   appear in Column (D). The JQSR for II-A/II-C will have no entries in Column B (II-B).

Item a. Recipient Name and Address. Enter the name and address of the recipient of the grant.

Item b. Check the proper box (Quarterly or Final Report) to indicate whether the subject report is quarterly or the final report of all financial activity under the grant. (NOTE: Participant data not required on Final Report.)

Item c. Recipient’s Grant No. Enter the numerical designation of the grant. This will correspond to the program/fiscal year of funds to be reported.

Item d. Reporting Period. Enter under or beside “From” the designated beginning date of the grant, and enter under or beside “To” the ending date of the report period.

I. GRANT TOTAL

Line 1 Allotment (NOO Amount)

Enter the amount of Federal funds found on the most recent Notice of Obligation (NOO).

Line 2 Transfers

Enter the amount of Federal Funds transferred to/from each program in accordance with Sections 206, 256, 266 of the Act, and the 1996 Omnibus Appropriation Bill, 110 Stat. 1321; FY 1995 Rescission Bill, P.L. 104-19; and the 1997 Appropriation Act, P.L. 104-208. Department of Labor Appropriation Act of 1998, P.L. 105-78 Transfers “from” should be indicated as negative numbers. This amount will correspond to the amount in Line 18.

Line 3 Total State Availability

Enter the total amount of Federal funds available for expenditure (net of all transfers) through the end of the reporting period. The entry for Line 3 is the sum of Lines 1 and 2.

Line 4 Total State Obligations

Enter the total amount of Federal funds obligated, as defined in Sec. 626.5 of the regulations, for Titles II-A (minus funds for programs under Sec. 204(d) of the Act) and II-C programs through the end of the reporting period.

Line 5 Total Expenditures

Enter the total amount of Federal funds expended through the end of the reporting period. The entry for Line 5 is the sum of Lines 6, 7, 8, 9, 13, and 20.

II. STATE LEVEL

NOTE: For this section of the reporting form, only Column (D) needs to be filled out. Section 627.440 Classification of Costs of the Regulations, permits combining expenditures for Titles II-A and II-C.

Line 6 Administration, Management and Auditing

Enter the amount of Federal funds expended for administration, management and audit through the end of the reporting period. (Sec. 202(c)(1)(A) & 262(c)(1)(A)) (5% of initial allotment).

Line 7 Incentive and Capacity Building/Technical Assistance

Enter the amount of Incentive funds expended (Line 24) plus the amount of Federal funds expended for capacity building and technical assistance through the end of the reporting period. (Sec. 202(c)(1)(B) & 262(c)(1)(B)) (5% of initial allotment).

Line 8 State Education -- Coordination

Enter the total amount of Federal funds expended for Sec. 123(d)(2)(A) purposes (Coordination) through the end of the reporting period. (Sec. 202(c)(1)(C) & 262(c)(1)(C)) (Maximum 20% of the initial 8% allotment)

Line 9 State Education -- Services

Enter the total amount of Federal funds expended for Sec. 123(d)(2)(B) purposes (Services) through the end of the reporting period. The entry for Line 9 is the sum of Lines 10, 11, and 12. (Sec. 202(c)(1)(C) & 262(c)(1)(C)) (Minimum of 80% of the initial 8% allotment)

Line 10 (a) State Education -- Services Direct Training

Enter the total amount of Federal funds expended for Direct Training for Sec. 123(d)(2)(B) purposes, as defined in Sec. 627.440(d)(1) of the regulations.

Line 11 (b) State Education -- Services - Training Related and Supportive Services

Enter the total amount of Federal funds expended for Training-Related and Supportive Services for Sec. 123(d)(2)(B) purposes, as defined in Sec. 627.440(d)(3) of the regulations.

Line 12 (c) State Education -- Services - Administration

Enter the total amount of Federal funds expended for Administration for Sec. 123(d)(2)(B) purposes, as defined in Sec. 627.440(d)(5).

NOTE: Financial data for Older Individuals must be filled out in Column D only.

Line 13 Older Individuals

Enter the total amount of Federal funds expended for Older Individuals through the end of the reporting period. The entry for Line 13 is the sum of Lines 14 through 16. (Sec. 202(c)(1)(D))

Line 14 (a) -- Older Individuals - Direct Training

Enter the total amount of Federal funds expended for Direct Training for Sec. 202(c)(1)(D) purposes, as defined in Sec. 627.440(d)(1) of the regulations.

Line 15 (b) -- Older Individuals - Training Related and Supportive Services

Enter the total amount of Federal funds expended for Training-Related and Supportive Services for Sec. 202(c)(1)(D) purposes, as defined in Sec. 627.440(d)(3) of the regulations.

Line 16 (c) -- Older Individuals - Administration

Enter the total amount of Federal funds expended for Administration for Sec. 202(c)(1)(D) purposes, as defined in Sec. 627.440(d)(5).

III. SDA LEVEL

NOTE: Enter the total amount of Federal funds expended for each program under the corresponding column (Title II-A expenditures in Column A, Title II-B expenditures in Column B, and Title II-C expenditures in Column C.) Enter the total amount (Column A + Column B + Column C) in Column D.

Line 17 Initial Allocation

Enter the total amount of Federal funds initially allocated to the SDAs.

Line 18 Transfers

Enter the net amount of Federal funds transferred to/from each program in accordance with Sections 206, 256, 266 of the Act, and the 1996 Omnibus Appropriation Bill, 110 Stat. 1321; FY 1995 Rescission Bill, P.L. 104-19; and the 1997 Appropriation Act, P.L. 104-208. DOL Appropriations Act of 1978, P.L. 105-78. Transfers “from” should be indicated as negative numbers. This amount will correspond to the amount in Line 2.

Line 19 Total SDA Availability

Enter the total amount of Federal funds available for expenditure through the end of the reporting period. The entry for Line 19 is the sum of Lines 17 and 18.

Line 20 Expenditures

Enter the total amount of Federal funds expended through the end of the reporting period. The entry for Line 20 is the sum of Lines 21 through 23.

Line 21 (a) Expenditures - Direct Training

Enter the total amount of Federal funds expended for Direct Training, as defined in Section 627.440(d)(1) of the regulations.

Line 22 (b) Expenditures - Training Related and Supportive Services

Enter the total amount of Federal funds expended for Training-Related and Supportive Services, as defined in Sec. 627.440(d)(3) of the regulations.

Line 23 (c) Expenditures - Administration

Enter the total amount of Federal funds expended for Administration, as defined in Sec. 627.440(d)(5).

Line 24 Incentive Funds Expended (Non-Additive)

Enter the total amount of Incentive Funds provided to the SDAs that have been expended through the end of the reporting period. This is a sub-breakout of Line 9 and is not to be added into Line 9, Line 5, or both.

NOTE: The following information is required on an annual basis only. All data shall be reported on the fourth quarter report and the final report. These data elements are not to be added into the total.

IV. NON-FEDERAL FUNDS EXPENDED FOR JTPA PROGRAMS

Line 25 For State Setaside Programs

Enter the total amount of non-Federal funds expended for State Set-aside Programs through the end of the reporting period. (Sec. 627.425(b)(2)(iii) and Sec. 627.480(g))

Line 26 For SDA Programs

Enter the total amount of non-Federal funds expended for SDA Programs through the end of the reporting period. (Sec. 627.425(b)(2)(iii) and Sec. 627.480(g))

V. PROGRAM INCOME

Line 27 Program Income Earned - State Setasides

Enter the total amount of program income earned through the end of the reporting period. (Sec. 141(m), Sec. 627.425(b)(2)(iii) and Sec. 627.450)

Line 28 Program Income Expended - State Setasides

Enter the total amount of program income expended, including program income expended for Sec. 123 (Matching) through the end of the reporting period. (Sec. 141(m), Sec. 627.425(b)(2)(iii) and Sec. 627.450)

Line 29 Program Income Earned - SDA Programs

Enter the total amount of program income earned by SDAs through the end of the reporting period. (Sec. 141(m), Sec. 627.425(b)(2)(iii) and Sec. 627.450)

Line 30 Program Income Expended - SDA Programs

Enter the total amount of program income expended by SDAs through the end of the reporting period. (Sec. 141(m), Sec. 627.425(b)(2)(iii) and Sec. 627.450)

VI. PARTICIPANT AND TERMINATION SUMMARY

NOTE: In this section, include only participant/termination data for the year ending with this report period.

Line 31 Total Participants

Enter the total number of participants enrolled during the reporting period. Enter data in Column (A) for Title II-A, Column (B) for Title II-B, and Column (C) for Title II-C.

NOTE: For lines 32 and 33, entries are to be made for quarters one, two and three of the program year.

Line 32 Total Participants Terminated

Enter the total number of participants terminated during the reporting period. Enter data in Column (A) for Title II-A, and in Column (C) for Title II-C.

Line 33 Total Entered Employment

Enter the total number of participants who entered unsubsidized employment during the reporting period. Enter data in Column (A) for Title II-A and Column (C) for Title II-C.

NOTE: Participants enrolled in the 8 percent education coordination grant program under Section 123 of JTPA will be reported in column D on lines 34, 35, and 36.

Line 34 Total Participants (Sec. 123)

Enter the total number of participants enrolled during the reporting period. Enter data in Column (D) only.

Line 35 Total Participants Terminated (Sec. 123)

Enter the total number of participants terminated during the reporting period. Enter data in Column (D) only.

Line 36 Total Entered Employment (Sec. 123)

Enter the total number of participants entering employment during the reporting period. Enter data in Column (D) only.

VII. TITLE II-A / TITLE III TRANSFERS

Line 37 Title II-A (-) and Title III

Enter the amount of funds for each of Title II-A and Title III programs coming in or going out. A negative or dash (-) sign if from Title II-A. The transfer is in accordance with the 1996 Omnibus Appropriation Bill, 110 Stat. 1321; FY 1995 Rescission Bill, P.L. 104-19; and the 1997 Appropriation Act, P.L. 104-208. DOL Appropriations Act of 1998, P.L. 105-78. The transfer amount should be reflected in Line 2 of Column A. Also, Line 18 of Column A must equal Line 2 of Column A.

Miscellaneous (at bottom of page)

Remarks

Item e. Signature and Title

The authorized official for the recipient signs here and enters his/her title.

Item f. Date Signed

Enter the date the report was signed by the authorized official.

Item g. Telephone No.

Enter the area code and telephone number of the authorized official.

Attachment II: JQSR file format

Data will be recorded in ASCII on 1.44 MB hard disks or transferred via Internet E-Mail (Check with regional representative). File name should contain "JQ" followed by the state abbreviation and the two digit month and year of report. Amended reports can be included in the file.

For the following rows, entries give character positions in the file. xxx is printed in the source where no entry is made.

II. STATE LEVEL: TOTAL D positions 16 - 24 for each item:

V. PROGRAM INCOME: TOTAL D positions 16 - 24 for each item:

37. FY II-B/PY II-C TRANSFER AMOUNT (Negative if from II-C): 16 - 24.
38. TITLE III/II-A TRANSFER AMOUNT (Negative if from II-A): 16 - 24.

NOTES: All totals must be zero filled to the left. No commas are allowed. If the total is zero or null, then the column must be zero filled. A dash (-) must be in the left-hand position if total is negative. All required items (01 - 38 for PY) must be present.

Fiscal year II-B requires items 17-20, 23, 26 and 31 and the II-B column only. The II-B column must be in positions 16 - 24.

For allotment program years 1996 and 1997, the Title II-B column must be all zeros.