Back to Federal guidance
2014 WIA and Wagner-Peyser program allotments
Summary ETA provided program year 2014 funding allotments for WIA Adult, Dislocated Worker, and Youth programs, Wagner-Peyser employment services, and workforce information grants. It explained funding and application requirements, and ten attachments include formulas, state tables, and grant agreements. ETA now labels this letter Canceled.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
TEGL No. 18-13
Date issued
April 3, 2014
Status
Withdrawn
ETA lists this advisory Canceled as of 2026-10-24; its PDF prints Expiration Date: Continuing and Rescissions: None. No cancellation instrument is identified.
Status last verified October 24, 2026
Is this still the rule?
This document has been withdrawn. Ezel checks what federal law requires today, under current federal labor law, and answers your situation with citations.
About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
Accessible letter PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_acc.pdf
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION WIA/Wagner-Peyser
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
OWI
U.S. DEPARTMENT OF LABOR
Washington, D.C. 20210 DATE
April 3, 2014
ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 18-13
TO: ALL STATE WORKFORCE AGENCIES
ALL STATE WORKFORCE LIAISONS
FROM: ERIC SELEZNOW /s/
Acting Assistant Secretary
SUBJECT: Workforce Investment Act (WIA) Adult, Dislocated Worker and
Youth Activities Program Allotments for Program Year (PY) 2014; Final PY
2014 Allotments for the Wagner-Peyser Act Employment Service (ES) Program
Allotments; and Workforce Information Grants to States Allotments for PY
2014.
1. Purpose. To provide States and outlying areas with WIA Title I Adult, Dislocated Worker
and Youth Activities program allotments for PY 2014; final allotments for PY 2014 for the
Wagner-Peyser ES Program, as required by section 6(b)(5) of the Wagner-Peyser Act, as
amended; and the Workforce Information Grants to States allotments for PY 2014.
2. References.
Consolidated Appropriations Act, 2014 (Pub. L. 113-76)
Balanced Budget and Emergency Deficit Control Act, as amended (Title II of Pub. L.
99-177)
Budget Control Act of 2011 (Pub. L. 112-25)
Training and Employment Guidance Letter (TEGL) 21-12, Updated Economically
Disadvantaged Youth and Adult Data for use in Program Year (PY) 2013 and future
Workforce Investment Act (WIA) Youth and Adult Within-State Allocation Formulas
Workforce Investment Act of 1998, (29 United States Code (U.S.C) 2801 et seq.),
Public Law 105-220, as amended
Wagner-Peyser Act, as amended (29 U.S.C. 49 et seq.)
WIA Final Rule, 20 Code of Federal Regulations parts 660-671
State Integrated Workforce Plan Requirements for Workforce Investment Act Title
I/Wagner-Peyser Act and Department of Labor Workforce Programs (OMB No. 1205-
0398)
Planning Guidance for State Unified Plans and Unified Plan Modifications Submitted
under Section 501 of the Workforce Investment Act (WIA) (OMB No. 1205-0398)
TEGL No. 27-12, Funds Administration Flexibility for Workforce Investment Act of
1998 (WIA) Title I and Wagner-Peyser Act of 1933 (W-P Act) Funds
LAUS Technical Memorandum No. S-13-17.
RESCISSIONS EXPIRATION DATE
None Continuing
3. Background. On January 17, 2014, the Consolidated Appropriations Act, 2014, Pub. L.
113-76 was signed into law (from this point forward, referred to as “the Act”). The Act,
Division H, Title I, Section 108, allows the Secretary of Labor to set aside up to .5 percent of
most operating funds. The evaluation provision is consistent with the Federal government’s
priority on evidence-based policy and programming and provides important opportunities to
expand evaluations and demonstrations in the Department to build solid evidence about what
works best. In the past, funds for ETA evaluations and demonstrations were separately
appropriated and managed by ETA. This year, that separate authority has been replaced by
the set aside provision. Funds are transferred to the Department’s Chief Evaluation Office to
implement formal evaluations and demonstrations in collaboration with ETA. For 2014, the
Secretary has set aside .25 percent of the WIA Adult, Youth and Dislocated Worker program
budgets for evaluation. The funding available to the Wagner-Peyser Employment Service
and Workforce Information Grant programs was not reduced.
The WIA Youth grants are funded through a single appropriation and the evaluation
reductions were applied to the PY 2014 appropriated level. However, the Act funds the WIA
Adult and Dislocated Worker programs in two separate appropriations. The first becomes
available for obligation on July 1; this portion is commonly referred to as the “base” funds.
The second becomes available for obligation on October 1; this portion is commonly referred
to as “advance” funds because they are provided in the appropriations act passed during the
fiscal year immediately before the fiscal year when the funds are available. For example,
funds for PY 2014 that will be made available on October 1, 2014 were appropriated during
FY 2014, but not made available until FY 2015, and are called the FY 2015 “advance.” The
reductions for evaluations from the WIA Adult and Dislocated Worker programs were
applied to the FY 2015 “advance” funding levels; “base” funding will be disseminated at the
full amount appropriated in the Act.
The Act also specifies the following provisions, which are applicable to utilization of the
funds appropriated:
• A local board still may transfer up to 30 percent of funds between the Adult and
Dislocated Worker funding streams if approved by their Governor. Many states have
waivers that allow their local boards to transfer up to 50 percent between those
programs.
• A local board still may award contracts for “class-size training,” that is, a local board
still may award a contract to an institution of higher education or other eligible
training provider if the local board determines that the contract would facilitate the
training of multiple individuals in high-demand occupations, and if the contract
would not limit customer choice.
• Notwithstanding section 128(a)(1) of WIA, the amount available for the Governor for
Statewide workforce investment activities must not exceed 8.75 percent of the
amount allotted to the State from each of the WIA Youth, Adult, and Dislocated
Worker, PY 2014 appropriations.
• Salary caps are imposed under Pub. L.113-76, Division H, Title I, Section 105. No
funds under the header “Employment and Training Administration” may be used by a
recipient or sub-recipient to pay the salary and/or bonus of an individual, either as
direct costs or indirect costs, at a rate in excess of Executive Level II, currently
$181,500. States also may establish lower salary caps. See TEGL 5-06.
While the WIA allotments for States are based on formula provisions contained in WIA (see
Attachment A for WIA and Wagner-Peyser formula descriptions), the WIA allotments for
the outlying areas (e.g., American Samoa, Guam, Northern Marianas, Palau, and the Virgin
Islands) are based on a formula determined by the Secretary as authorized under WIA Title I
and WIA section 182. The Marshall Islands and Micronesia no longer receive WIA Title I
funding; instead, these areas now receive funding from the Department of Education’s
appropriation (see Compact of Free Association Amendments of 2003, Pub. L. 108-188
(December 17, 2003), codified at 48 U.S.C. 1921d(f)(1)(B)(iii)(the “Compact”). The
Compact also specified that the Republic of Palau remained eligible for WIA Title I funding.
See 48 U.S.C.1921d(f)(1)(B)(ix). The Consolidated Appropriations Act, 2014 (Division H,
Title III, Section 306 of Pub. L. 113-76) authorized WIA Title I funding to Palau through FY
2014.
In addition to this TEGL, allotments and descriptions of the allotment formulas will be
published in the Federal Register. Comments may be submitted to the Employment and
Training Administration (ETA), on the formula used to distribute funds to outlying areas.
4. State WIA Youth Activities Funds: Title I--Chapter 4--Youth Activities.
A. State Allotments. The appropriated level for PY 2014 for WIA Youth Activities totals
$820,430,000. After reducing the appropriation by $2,261,000 for evaluations,
$818,169,000 is available for Youth Activities, which includes $12,272,535 for Native
Americans, $803,851,042 for States, and $2,045,423 for outlying areas. Attachment B
contains a breakdown of the WIA Youth Activities program allotments by State for PY
2014 and provides a comparison of these allotments to PY 2013. Please note that the
Department of Labor (the Department) will provide the Native American Youth
allotments in a separate TEGL.
The three data factors required by WIA for the PY 2014 Youth Activities State formula
allotments are:
1. The average number of unemployed individuals for Areas of Substantial
Unemployment (ASUs) for the 12-month period, July 2012 through June 2013, as
prepared by the States under the direction of the Bureau of Labor Statistics (BLS);
2. The number of excess unemployed individuals or the ASU excess (depending on
which is higher) averages for the same 12-month period as used for ASU unemployed
data; and,
3. The number of economically disadvantaged Youth (age 16 to 21, excluding college
students in the workforce and military) from special tabulations of data from the
American Community Survey (ACS). The data used in the special tabulations for
economically disadvantaged Youth were collected between January 1, 2006, and
December 31, 2010.
Since the total amount available for States in PY 2014 is below the required $1 billion
threshold specified in WIA section 127(b)(1)(C)(iv)(IV), which was also the case in PY
2013, the Department did not apply the WIA additional minimum provisions (see
Attachment A). Instead, as required by WIA, the Job Training Partnership Act (JTPA)
(Pub. L. 97-300), section 262(a)(3) (as amended by section 207 of the Job Training
Reform Amendments of 1992Pub. L. 102-367) minimums of 90 percent hold-harmless of
the prior year allotment percentage and 0.25 percent State minimum floor apply. WIA
also provides that no State may receive an allotment that is more than 130 percent of the
allotment percentage for the State for the previous year.
B. PY 2014 Funding WIA Agreement/Notice of Obligations (NOOs). Upon execution of
the PY 2014 WIA Annual Funding Agreement, Youth program funds will be available
for States to use.
C. Within-State Allocations. States must distribute WIA Youth Activities funds among
local workforce investment areas (subject to reservation of the 8.75 percent limitation for
statewide workforce investment activities as discussed in the Background Section of this
TEGL) in accordance with the provisions of WIA section 128 and the approved
WIA/Wagner-Peyser Act State Plan. For purposes of identifying ASUs for the within-
State Youth Activities allocation formula, states should use data made available by BLS
(as described in LAUS Technical Memorandum No. S-13-17). For purposes of
determining the number of economically disadvantaged Youth for the statutory formula,
States should use the special tabulations of ACS data available at
http://www.doleta.gov/budget/disadvantagedYouthAdults.cfm for the within-State Youth
program allocations. See TEGL 21-12 for further information.
D. Transfers of Funds. Local workforce investment areas do not have the authority to
transfer funds to or from the Youth Activities program.
E. Reallotment of Funds. The Secretary of Labor reallots Youth Activities program formula
funds, as provided for by WIA Section 127(c), based on completed PY financial reports
that the States submitted. The Department will reallot funds among States under WIA
during PY 2014 based on State obligations made during PY 2013 (20 CFR §667.150).
5. State Adult Employment and Training Activities Funds: Title I--Chapter 5--Adult
and Dislocated Worker Employment and Training Activities.
A. State Allotments. The total appropriated funds for Adult Activities in PY 2014 is
$766,080,000. After reducing the appropriated amount by $2,111,000 for evaluations,
$763,969,000 remains for Adult Activities, of which $762,059,077 is for states and
$1,909,923 is for outlying areas. Attachment C shows the PY 2014 Adult Employment
and Training Activities allotments and a State by State comparison of the PY 2014
allotments to PY 2013 revised allotments (after removing the sequestration applicable to
the FY 2013 advance).
The three formula data factors for the Adult Activities program are the same as those
used for the Youth Activities formula, except the Department used data for the number of
economically disadvantaged Adults (age 18 to 72, excluding college students in the
workforce and military). Since the total amount available for the Adult Activities
program for States in PY 2014 is below the required $960 million threshold specified in
WIA section 132(b)(1)(B)(iv)(IV), as was also the case in PY 2013, the WIA additional
minimum provisions (See Attachment A) are not applicable. Instead, as required by
WIA, the JTPA section 202(b)(2) (as amended by section 202 of the Job Training Reform
Amendments of 1992) minimums of 90 percent hold-harmless of the prior year allotment
percentage and 0.25 percent State minimum floor apply. Also, like for the Youth
program, WIA also provides that no State may receive an allotment that is more than 130
percent of the allotment percentage for the State for the previous year.
B. PY 2014 Funding WIA Agreement/Notices of Obligation (NOOs). For PY 2014,
Congress appropriated funds for this program in two portions: $54,080,000 is available
for obligation on July 1, 2014 (PY 2014), and $712,000,000 available for obligation on
October 1, 2014 (FY 2015). The Department elected to use the funding available on
October 1, 2014 for the evaluations set aside, reducing the amount available for Adult
Activities on October 1, 2014 to $709,889,000. The Department prorated allotments to
States and outlying areas based on these total amounts and will issue two NOOs: one for
July 1, 2014, under the PY 2014 WIA grant agreement, and the other for October 1,
2014, also under the PY 2014 WIA grant agreement (see Attachment D).
C. Within-State Allocations. States must distribute WIA Adult Activities funds for PY 2014
allotments among local workforce investment areas (subject to reservation of the 8.75
percent limitation for statewide workforce investment activities) in accordance with the
provisions in WIA section 133 and the approved WIA/Wagner-Peyser Act State Plan.
The 8.75 percent which may be retained for statewide activities must be calculated on the
total final allotment for PY 2014.
Similar to the Youth Activities program, for purposes of identifying ASUs for the within-
state Adult Activities allocation formula, States should use the data made available by
BLS (as described in LAUS Technical Memorandum No. S-13-17). For purposes of
developing the number of economically disadvantaged Adults for the statutory formula,
States should use the special tabulations of ACS data available at
http://www.doleta.gov/budget/disadvantagedYouthAdults.cfm for the within-state Adult
allocations. See TEGL 21-12 for further information.
D. Transfers of Funds. WIA section 133(b)(4) provides the authority for local workforce
investment areas, with approval of the Governor, to transfer up to 20 percent of the Adult
Activities funds to Dislocated Worker Activities, and up to 20 percent of Dislocated
Worker Activities funds to Adult Activities. The Act provided that, notwithstanding
section 133(b)(4), up to 30 percent of these funds could be transferred between programs,
which is applicable for the life of the funds. Many States have waivers that allow them to
transfer a higher percentage of funding between programs.
E. Reallotment of Funds. Reallotment of Adult Activities program formula funds, as
provided for by WIA section 132(c), is based on completed financial reports submitted by
the States. The Department will reallot funds among States under WIA during PY 2014
based on State obligations of PY 2013 funds made during PY 2013 (20 CFR §667.150).
6. State Dislocated Worker Employment and Training Funds: Title I--Chapter 5-
Adult and Dislocated Worker Employment and Training Activities.
The amount appropriated for Dislocated Worker activities in PY 2014 totals $1,222,457,000.
The total appropriation includes formula funds for the States, while the National Reserve is
used for National Emergency Grants, technical assistance and training, demonstration
projects, and the outlying areas’ Dislocated Worker allotments. After reducing the
appropriated amount by $3,370,000 for evaluations, a total of $1,219,087,000 remains
available for Dislocated Worker activities. The amount available for outlying areas is
$3,047,718, leaving $217,201,282 for the National Reserve and a total of $998,838,000
available for States.
A. State Allotments. Attachment E shows the PY 2014 Dislocated Worker activities
allotments and a State by State comparison of the PY 2014 allotments to PY 2013 revised
allotments (after removing the sequestration applicable to the FY 2013 advance).
The three data factors required in WIA for the PY 2014 Dislocated Worker State formula
allotments are:
1. The number of unemployed, averaged for the 12-month period, October 2012
through September 2013;
2. The number of excess unemployed, averaged for the 12-month period, October
2012 through September 2013; and
3. The number of long-term unemployed, averaged for the 12-month period, October
2012 through September 2013.
B. PY 2014 Funding WIA Agreement/NOOs. For PY 2014, Congress appropriated funds for
this program in two portions for both formula funds and National Reserve funds. For
State formula funds, $141,598,000 is available for obligation on July 1, 2014 (PY 2014),
and $860,000,000 is available for obligation on October 1, 2014 (FY 2015). For the
National Reserve, which includes funds for the outlying areas, $20,859,000 is available
for obligation on July 1, 2014 (PY 2014), and $200,000,000 is available for obligation on
October 1, 2014 (FY 2015). The Department elected to use the funding available on
October 1, 2014 for the evaluations set aside, reducing the amount available for State
formula funds on October 1, 2014 to $857,240,000 and for the National Reserve to
$199,390,000. Allotments to States and outlying areas are prorated based on the two
amounts for formula funds and National Reserve, respectively. Allotments will be issued
in two NOOs: one for July 1, 2014, under the PY 2014 WIA grant agreement, and the
other for October 1, 2014, (also under the PY 2014 WIA grant agreement) (see
Attachment F).
C. Within-State Allocations. Dislocated Worker Activities funds for PY 2014 allotments are
to be distributed among local workforce investment areas (subject to the Governor’s
reservation of up to 25 percent for statewide rapid response activities under WIA 133 and
the 8.75 percent limitation for statewide workforce investment activities as discussed in
the Background Section of this TEGL) in accordance with the provisions in WIA section
133 and the approved WIA/Wagner-Peyser Act State Plan. States must calculate the 8.75
percent which may be retained for statewide activities on the total final allotment for PY
2014.
D. Transfers of Funds. WIA section 133(b)(4) provides the authority for local workforce
investment areas, with approval of the Governor, to transfer up to 20 percent of the Adult
Activities funds to Dislocated Worker Activities, and up to 20 percent of Dislocated
Worker Activities funds to Adult Activities. The Act provided that, notwithstanding
section 133(b)(4), up to 30 percent of these funds could be transferred between programs,
which is applicable for the life of the funds. Many States have waivers that allow them to
transfer a higher percentage of funding between programs.
E. Reallotment of Funds. The Department bases reallotment of Dislocated Worker program
formula funds, as provided for by WIA section 132(c), on completed financial reports
submitted by the States. The Department will reallot funds among States under WIA
during PY 2014 based on State obligations made during PY 2013 (20 CFR § 667.150).
7. Wagner-Peyser ES Final Allotments. The appropriated level for PY 2014 for grants for the
ES programs totals $664,184,000. After determining the funding for outlying areas, ETA
calculates allotments to States using the formula set forth at section 6 of the Wagner-Peyser
Act (29 U.S.C. 49e). ETA based PY 2014 formula allotments on each State’s share of
calendar year 2013 monthly averages of the Civilian Labor Force (CLF) and unemployment.
The distribution of Wagner-Peyser Act funds for PY 2014 includes $662,564,950 for States,
as well as $1,619,050 for outlying areas. Attachment G shows the distribution of PY 2014
ES formula amounts by State compared to PY 2013.
Under section 7(b) of the Wagner-Peyser Act, ten percent of the total sums allotted to each
State shall be reserved for use by the governor to provide performance incentives, services
for groups with special needs, and for the extra costs of exemplary models for delivering job
services.
8. Workforce Information Grants. Total funds for PY 2014 are $32,000,000. Funds are
distributed to States by administrative formula with $176,800 for Guam and the Virgin
Islands. Guam and the Virgin Islands allotment amounts are partially based on CLF data,
which was updated last year with data from the 2010 Census. The remaining funds are
distributed to the States with 40 percent distributed equally to all States, and 60 percent
distributed based on each State’s share of the CLF for the 12 months ending September 2013.
The allotment figures are listed in Attachment H. Policy guidance on the use of workforce
information grants will be forthcoming.
9. Waivers of Required Statewide Activities. While the funding level for the Governor’s
reserve has increased to 8.75 percent from the prior several years’ five percent level, it
continues to be appropriated at levels well below the 15 percent authorized by WIA. Due to
this ongoing reduction, ETA realizes that some states may be unable to conduct all required
statewide activities. As a temporary measure, and in order to help states prioritize the
activities that are more essential to the functioning of their workforce systems, states may
request waivers to exempt them from the requirements to carry out some of the required
statewide activities described at 20 CFR 665.200(b)-(i) that would have been possible
without the reduction in funds. Waiver requests must meet the requirements discussed in
TEGL No. 27-12, Section 4(A). For states that were approved for statewide waivers in PY
2013, a request to extend them for PY 2014 may be submitted rather than a full waiver plan.
Additional information can be found at http://www.doleta.gov/waivers
10. Submission. In order to achieve greater efficiency and as part of ETA’s ongoing effort to
streamline the mandatory grant award process, all States are required to submit an
electronically signed copy of an SF- 424, Application for Federal Assistance, through
Grants.gov for each WIA funding stream under Funding Opportunity Numbers:
• ETA-TEGL-PY-YOUTH [CFDA 17.259]
• ETA-TEGL-PY-FY ADULT [CFDA 17.258]
• ETA-TEGL-PY-FY DW [CFDA 17.278]
An electronically submitted SF-424 through Grants.gov constitutes an official signed
document and must reflect the amount for each WIA funding stream (Youth, Adult, and
Dislocated Worker). The closing date for receipt of each SF-424 is April 18, 2014. The
WIA Youth funds will be awarded in April 2014. The PY 2014 “base” allotment of WIA
Adult and Dislocated Worker funds will be awarded during the period of availability
beginning July 2014. The FY 2015 “advance” allotment will be awarded in the period of
availability starting October 2014. A copy of the executed WIA Agreement [Attachment I]
will be available upon award of funds.
All States must submit an electronically signed SF- 424, Application for Federal Assistance,
through Grants.gov for each ES funding program under Funding Oppo rtunity Numbers:
• ETA-TEGL-ES [CFDA 17.207]
• ETA-TEGL-WIG [CFDA 17.207]
An electronically submitted SF-424 through Grants.gov constitutes an official signed
document and must reflect the amount for each ES program (Wagner-Peyser ES Program
and Workforce Information Grants). The closing date for receipt of each SF-424 is May 30,
2014. The Wagner-Peyser Employment Service Program and Workforce Information funds
will be awarded in July 2014. A copy of the executed ES Agreement [Attachment J] will be
awarded upon award of funds.
Each SF-424 must reflect the exact amount of the designated State allotment in item #18,
Estimated Funding. Item #11 must include the Catalog of Federal Domestic Assistance
Number for the applicable Funding Opportunity.
To submit the required SF-424s, States must follow the “Apply for Grants” link on
Grants.gov, and download the grant application package links. States should not follow the
“Find Grants” link, as these are mandatory grants, not competitive funding opportunities.
This process can be complicated and time-consuming. As such, the Department strongly
encourages States to initiate the process as soon as possible and to allow for time to resolve
technical problems if necessary. The Department strongly recommends that States
immediately initiate and complete the “Get Registered” registration steps at
http://www.grants.gov/applicants/get_registered.jsp. States should read through the
registration process carefully before registering. These steps may take as much as four
weeks to complete, and this time should be factored into plans for electronic submission in
order to avoid unexpected delays that could result in the rejection of an application. The site
also contains registration checklists to help you walk through the process. The Department
strongly recommends that States download the “Organization Registration Checklist” at
http://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf
and prepare the information requested before beginning the registration process. Reviewing
and assembling required information before beginning the registration process will alleviate
last minute searches for required information and save time.
All applicants for Federal grant and funding opportunities are required to have a Data
Universal Numbering System (D-U-N-S®) number, and must supply their
D-U-N-S® number on the SF-424. Before submitting, States must register with the System
for Award Management (SAM), which has replaced the Central Contractor Registry (CCR).
Instructions for registering with SAM can be found at https://www.sam.gov
An awardee must maintain an active SAM registration with current information at all times
during which it has an active Federal award or an application under consideration. To remain
registered in the SAM database after the initial registration, there is a requirement to review
and update the registration at least every 12 months from the date of initial registration or
subsequently update the information in the SAM database to ensure it is current, accurate,
and complete. Failure to register with SAM and maintain an active account will result in
Grants.gov rejecting your submission.
The next step in the registration process is creating a username and password with
Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need
to know the D-U-N-S® number of the organization for which they will be submitting
applications to complete this process. To read more detailed instructions for creating a profile
on Grants.gov visit: http://www.grants.gov/web/grants/applicants/organization-
registration/step-3-username-password.html
After creating a profile on Grants.gov, the E-Biz point of Contact (E-Biz POC) - a
representative from your organization who is the contact listed for SAM – will receive an
email to grant the AOR permission to submit applications on behalf of their organization.
The E-Biz POC will then log in to Grants.gov and approve an applicant as the AOR, thereby
giving him or her permission to submit applications. To learn more about AOR
Authorization visit: http://www.grants.gov/web/grants/applicants/organization-
registration/step-4-aor-authorization.html
To track AOR status visit:
http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-
status.html
Submitting through Grants.gov constitutes an electronically signed SF-424, Application for
Federal Assistance. The registration and account creation with Grants.gov, with E-Biz POC
approval, establishes an AOR. When you submit the SF-424 through Grants.gov, the name
of your AOR on file will be inserted into the signature line. States must register the
individual who is able to make legally binding commitments as the AOR.
If States encounter a problem with Grants.gov and do not find an answer in any of the other
resources, call 1-800-518-4726 or 606-545-5035 to speak to a Customer Support
Representative or email [email protected]. The Contact Center is open 24 hours a day,
seven days a week. It is closed on federal holidays.
States should e-mail all submission questions to Ms. Sharon Carter, Grants Management
Specialist, at [email protected] and must reference the specific Funding Opportunity
Number, and along with question(s), include a contact name, email address, and phone
number.
10. Reporting. For the WIA formula programs, States are required to submit the seven
designated WIA quarterly financial status reports covering funds received for each of the
programs (including separate reports for each of the fund year periods for the Adult and
Dislocated Worker Activities programs -- July 1 funds and October 1 funds). These seven
WIA reports provide financial data for Statewide Youth, Statewide Adult, Statewide
Dislocated Worker, Statewide Rapid Response (Dislocated Worker Activities), local Youth,
local Adult, and local Dislocated Worker activities. The Department also requires States to
submit the designated financial reports each quarter for the Wagner-Peyser Act funds and the
Workforce Information Grant funds.
11. Inquiries. Questions regarding these allotments may be directed to the appropriate Regional
Office. Information on allotments and planning requirements may also be found on the ETA
Web site at http://www.doleta.gov.
12. Attachments.
A. WIA and Wagner-Peyser Statutory Formula Descriptions
B. WIA Youth Activities Allotments,
PY 2014 vs PY 2013
C. WIA Adult Activities Allotments,
PY 2014 vs PY 2013
D. WIA Adult Activities Allotments,
July 1 and October 1 Funding
E. WIA Dislocated Worker Activities Allotments,
PY 2014 vs PY 2013
F. WIA Dislocated Worker Activities Allotments,
July 1 and October 1 Funding
G. Employment Service (Wagner-Peyser) Allotments,
PY 2014 vs PY 2013
H. Workforce Information Grants Allotments,
PY 2014 vs PY 2013
I. WIA Agreement
J. ES Agreement
Attachment 1: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_A_Acc.pdf
Attachment A
U. S. Department of Labor
Employment and Training Administration
Workforce Investment Act (WIA) and Wagner-Peyser Act Statutory Formulas for State Allotments
State Allotment Formula Descriptions
WIA Youth Activities
Formula:
1/3: State relative share of total unemployed in areas of substantial unemployment (ASU) (average 12 months ending 6/30)
1/3: State relative share of excess unemployed (average 12 months ending 6/30)
1/3: State relative share of economically disadvantaged youth (American Community Survey 2006-2010)
Minimums:
(a) If total amount available for States is $1 billion or less:
State allotment cannot be less than
(1) 90 percent of State relative share of prior year funding
(2) 0.25 percent of total available funds for States
(b) If total amount available for States exceeds $1 billion:
State allotment cannot be less than
(1) 90 percent of State relative share of prior year funding
(2) 1998 allotment amount
(3) 0.3 percent of first $1 billion plus 0.4 percent of amount over $1 billion
Maximum:
130% of State relative share of prior year funding
WIA Adult Activities
Same as Youth Activities, except
(a) Formula uses economically disadvantaged ADULTS instead of YOUTH
(b) Threshold for selecting minimum provisions is $960 million instead of $1 billion
WIA Dislocated Workers
Formula:
1/3: State relative share of total unemployed (average 12 months ending 09/30)
1/3: State relative share of excess unemployed (average 12 months ending 09/30)
1/3: State relative share of long-term unemployed (average 12 months ending 09/30)
Minimum: none
Maximum: none
Employment Service (Wagner-Peyser Act)
Formula for 97% of funds:
2/3: State relative share of civilian labor force (average 12 months ending 9/30 (preliminary) or 12/31 (final))
1/3: State relative share of total unemployment (average 12 months ending 9/30 (preliminary) or 12/31 (final))
Minimums:
(a) 90 percent of State relative share of prior year funding
(b) 0.28 percent of total available funds for States
Maximum:
Distribution of 3% of funds:
(1) States with civilian labor force below 1 million and under the national median civilian labor force density receive an amount
which, when added to their share of the 97 percent portion, will result in an amount equal to 100 percent of their relative share of
the prior year funding
(2) Remaining States losing in relative share receive a share of the remaining funds prorated based on the amount needed to achieve
100 percent of their relative share of prior year funding.
Formula Data Factor Definitions
WIA Youth and Adults Programs
ASU: contiguous areas with unemployment rate of 6.5 percent or more excess unemployed. Higher of:
(1) excess unemployed (unemployment in excess of 4.5 percent) in ASU's; or
(2) excess unemployed (unemployment in excess of 4.5 percent) in all areas
Economically disadvantaged adults: individuals, age 22-72, meeting (or member of family meeting):
OMB poverty level or
70 percent of lower living standard income level (LLSIL).
Economically disadvantaged youth: individuals, age 16-21, meeting (or member of family meeting):
OMB poverty level or
70 percent of lower living standard income level (LLSIL).
WIA Dislocated Workers Program
Excess unemployed: unemployment in excess of 4.5 percent
Long-term unemployed: number unemployed 15 or more weeks
Employment Service (Wagner-Peyser) - Self-explanatory
Attachment 2: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_B_Acc.pdf
U.S. Department of Labor Attachment B
Employment and Training Administration
WIA Youth Activities State Allotments
Comparison of PY 2014 vs PY 2013
State PY 2013 PY 2014 Difference % Difference
Total with Evaluations $781,375,289 $820,430,000 $39,054,711 5.00%
Total (WIA Youth Activities) $781,375,289 $818,169,000 $36,793,711 4.71%
Alabama 10,504,766 10,363,134 (141,632) -1.35%
Alaska 1,919,253 2,009,628 90,375 4.71%
Arizona 15,938,449 16,873,353 934,904 5.87%
Arkansas 6,367,716 6,814,031 446,315 7.01%
California 118,211,133 119,122,833 911,700 0.77%
Colorado 11,600,883 12,414,406 813,523 7.01%
Connecticut 8,152,502 9,398,657 1,246,155 15.29%
Delaware 1,919,253 2,009,628 90,375 4.71%
District of Columbia 2,074,840 2,216,117 141,277 6.81%
Florida 47,791,321 45,067,004 (2,724,317) -5.70%
Georgia 25,123,453 27,467,948 2,344,495 9.33%
Hawaii 2,174,842 2,049,527 (125,315) -5.76%
Idaho 3,623,538 3,414,748 (208,790) -5.76%
Illinois 33,775,763 38,093,547 4,317,784 12.78%
Indiana 15,696,820 17,756,443 2,059,623 13.12%
Iowa 4,671,103 4,739,579 68,476 1.47%
Kansas 5,304,061 5,398,508 94,447 1.78%
Kentucky 11,299,654 12,118,913 819,259 7.25%
Louisiana 9,733,043 9,327,194 (405,849) -4.17%
Maine 2,888,765 3,244,888 356,123 12.33%
Maryland 10,289,216 11,989,592 1,700,376 16.53%
Massachusetts 12,803,985 14,507,221 1,703,236 13.30%
Michigan 31,911,591 30,072,831 (1,838,760) -5.76%
Minnesota 9,841,004 9,947,978 106,974 1.09%
Mississippi 8,556,357 9,200,818 644,461 7.53%
Missouri 13,072,955 12,877,148 (195,807) -1.50%
Montana 2,105,266 2,152,132 46,866 2.23%
Nebraska 2,157,402 2,394,620 237,218 11.00%
Nevada 9,407,590 8,865,521 (542,069) -5.76%
New Hampshire 1,919,253 2,200,035 280,782 14.63%
New Jersey 21,422,496 25,513,414 4,090,918 19.10%
New Mexico 4,195,688 4,625,925 430,237 10.25%
New York 46,093,646 52,011,703 5,918,057 12.84%
North Carolina 26,575,543 28,871,997 2,296,454 8.64%
North Dakota 1,919,253 2,009,628 90,375 4.71%
Ohio 25,942,472 26,270,342 327,870 1.26%
Oklahoma 5,982,158 6,258,954 276,796 4.63%
Oregon 9,901,654 10,543,691 642,037 6.48%
Pennsylvania 27,854,861 33,509,103 5,654,242 20.30%
Puerto Rico 18,321,559 17,265,863 (1,055,696) -5.76%
Rhode Island 3,676,868 3,743,023 66,155 1.80%
South Carolina 12,151,961 12,574,365 422,404 3.48%
South Dakota 1,919,253 2,009,628 90,375 4.71%
Tennessee 15,045,025 16,496,140 1,451,115 9.65%
Texas 52,525,623 52,492,802 (32,821) -0.06%
Utah 4,562,251 4,304,671 (257,580) -5.65%
Vermont 1,919,253 2,009,628 90,375 4.71%
Virginia 12,509,940 13,392,465 882,525 7.05%
Washington 16,388,794 16,309,501 (79,293) -0.48%
West Virginia 3,904,748 3,957,765 53,017 1.36%
Wisconsin 12,133,146 13,562,824 1,429,678 11.78%
Wyoming 1,919,253 2,009,628 90,375 4.71%
State Total 767,701,222 803,851,042 36,149,820 4.71%
American Samoa 144,308 196,434 52,126 36.12%
Guam 813,205 766,348 (46,857) -5.76%
Northern Marianas 367,640 402,258 34,618 9.42%
Palau 75,000 75,000 0 0.00%
Virgin Islands 553,285 605,383 52,098 9.42%
Outlying Areas Total 1,953,438 2,045,423 91,985 4.71%
Native Americans 11,720,629 12,272,535 551,906 4.71%
Evaluations set aside 0 2,261,000 2,261,000 N/A
Attachment 3: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_C_Acc.pdf
U.S. Department of Labor Attachment C
Employment and Training Administration
WIA Adult Activities State Allotments
Comparison of PY 2014 vs PY 2013
Revised * %
State PY 2013 PY 2014 Difference Difference
Total with Evaluations $730,624,342 $766,080,000 $35,455,658 4.85%
Total (WIA Adult Activities) $730,624,342 $763,969,000 $33,344,658 4.56%
Alabama 10,224,272 10,127,957 (96,315) -0.94%
Alaska 1,821,995 1,905,148 83,153 4.56%
Arizona 15,043,959 15,910,029 866,070 5.76%
Arkansas 6,105,212 6,508,494 403,282 6.61%
California 113,293,307 114,152,207 858,900 0.76%
Colorado 10,810,310 11,534,090 723,780 6.70%
Connecticut 7,481,120 8,642,428 1,161,308 15.52%
Delaware 1,821,995 1,905,148 83,153 4.56%
District of Columbia 1,887,427 2,014,101 126,674 6.71%
Florida 47,321,672 44,979,171 (2,342,501) -4.95%
Georgia 24,219,435 26,369,329 2,149,894 8.88%
Hawaii 2,273,535 2,137,808 (135,727) -5.97%
Idaho 3,369,813 3,171,735 (198,078) -5.88%
Illinois 31,821,102 35,721,028 3,899,926 12.26%
Indiana 14,353,354 16,187,078 1,833,724 12.78%
Iowa 3,365,888 3,371,916 6,028 0.18%
Kansas 4,489,407 4,537,758 48,351 1.08%
Kentucky 11,578,115 12,441,851 863,736 7.46%
Louisiana 8,995,996 8,947,905 (48,091) -0.53%
Maine 2,634,399 2,958,900 324,501 12.32%
Maryland 9,540,964 11,120,651 1,579,687 16.56%
Massachusetts 11,472,764 12,850,371 1,377,607 12.01%
Michigan 29,714,174 28,122,010 (1,592,164) -5.36%
Minnesota 8,455,689 8,509,251 53,562 0.63%
Mississippi 8,167,224 8,783,758 616,534 7.55%
Missouri 12,131,912 11,979,012 (152,900) -1.26%
Montana 1,993,575 2,047,975 54,400 2.73%
Nebraska 1,821,995 1,905,148 83,153 4.56%
Nevada 9,193,672 8,620,844 (572,828) -6.23%
New Hampshire 1,821,995 1,905,148 83,153 4.56%
New Jersey 20,840,954 24,644,654 3,803,700 18.25%
New Mexico 4,018,529 4,457,154 438,625 10.92%
New York 44,780,964 50,339,040 5,558,076 12.41%
North Carolina 25,631,261 27,573,758 1,942,497 7.58%
North Dakota 1,821,995 1,905,148 83,153 4.56%
Ohio 24,002,258 24,343,116 340,858 1.42%
Oklahoma 5,774,583 6,047,269 272,686 4.72%
Oregon 9,495,475 10,108,074 612,599 6.45%
Pennsylvania 25,383,125 30,619,150 5,236,025 20.63%
Puerto Rico 19,382,789 18,344,208 (1,038,581) -5.36%
Rhode Island 3,196,831 3,230,712 33,881 1.06%
South Carolina 11,746,745 12,134,396 387,651 3.30%
South Dakota 1,821,995 1,905,148 83,153 4.56%
Tennessee 14,703,940 16,085,971 1,382,031 9.40%
Texas 50,144,787 50,065,195 (79,592) -0.16%
Utah 3,725,596 3,614,740 (110,856) -2.98%
Vermont 1,821,995 1,905,148 83,153 4.56%
Virginia 11,647,116 12,445,438 798,322 6.85%
Washington 15,347,510 15,226,047 (121,463) -0.79%
West Virginia 3,961,524 4,028,840 67,316 1.70%
Wisconsin 10,499,538 11,762,474 1,262,936 12.03%
Wyoming 1,821,995 1,905,148 83,153 4.56%
State Total 728,797,782 762,059,077 33,261,295 4.56%
American Samoa 136,159 182,941 46,782 34.36%
Guam 754,111 713,704 (40,407) -5.36%
Northern Marianas 345,847 374,568 28,721 8.30%
Palau 71,388 75,000 3,612 5.06%
Virgin Islands 519,055 563,710 44,655 8.60%
Outlying Areas Total 1,826,560 1,909,923 83,363 4.56%
Evaluations set aside 0 2,111,000 2,111,000 N/A
* The revised PY 2013 allotments are the actual amounts the Department obligated to states for PY 2013
and include the reductions associated with sequestration on the FY 2013 advance (part of the PY 2012
allotments).
Attachment 4: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_D_Acc.pdf
U.S. Department of Labor Attachment D
Employment and Training Administration
WIA Adult Activities
PY 2014 State Allotments
State Total 7/1/2014 10/1/2014
Total with Evaluations $766,080,000 $54,080,000 $712,000,000
Total (WIA Adult Activities) $763,969,000 $54,080,000 $709,889,000
Alabama 10,127,957 716,940 9,411,017
Alaska 1,905,148 134,862 1,770,286
Arizona 15,910,029 1,126,242 14,783,787
Arkansas 6,508,494 460,725 6,047,769
California 114,152,207 8,080,631 106,071,576
Colorado 11,534,090 816,478 10,717,612
Connecticut 8,642,428 611,782 8,030,646
Delaware 1,905,148 134,862 1,770,286
District of Columbia 2,014,101 142,575 1,871,526
Florida 44,979,171 3,183,995 41,795,176
Georgia 26,369,329 1,866,638 24,502,691
Hawaii 2,137,808 151,332 1,986,476
Idaho 3,171,735 224,521 2,947,214
Illinois 35,721,028 2,528,628 33,192,400
Indiana 16,187,078 1,145,854 15,041,224
Iowa 3,371,916 238,692 3,133,224
Kansas 4,537,758 321,220 4,216,538
Kentucky 12,441,851 880,736 11,561,115
Louisiana 8,947,905 633,406 8,314,499
Maine 2,958,900 209,455 2,749,445
Maryland 11,120,651 787,211 10,333,440
Massachusetts 12,850,371 909,655 11,940,716
Michigan 28,122,010 1,990,707 26,131,303
Minnesota 8,509,251 602,355 7,906,896
Mississippi 8,783,758 621,787 8,161,971
Missouri 11,979,012 847,973 11,131,039
Montana 2,047,975 144,972 1,903,003
Nebraska 1,905,148 134,862 1,770,286
Nevada 8,620,844 610,254 8,010,590
New Hampshire 1,905,148 134,862 1,770,286
New Jersey 24,644,654 1,744,551 22,900,103
New Mexico 4,457,154 315,514 4,141,640
New York 50,339,040 3,563,411 46,775,629
North Carolina 27,573,758 1,951,897 25,621,861
North Dakota 1,905,148 134,862 1,770,286
Ohio 24,343,116 1,723,206 22,619,910
Oklahoma 6,047,269 428,075 5,619,194
Oregon 10,108,074 715,532 9,392,542
Pennylvania 30,619,150 2,167,475 28,451,675
Puerto Rico 18,344,208 1,298,554 17,045,654
Rhode Island 3,230,712 228,696 3,002,016
South Carolina 12,134,396 858,972 11,275,424
South Dakota 1,905,148 134,862 1,770,286
Tennessee 16,085,971 1,138,697 14,947,274
Texas 50,065,195 3,544,026 46,521,169
Utah 3,614,740 255,881 3,358,859
Vermont 1,905,148 134,862 1,770,286
Virginia 12,445,438 880,990 11,564,448
Washington 15,226,047 1,077,825 14,148,222
West Virginia 4,028,840 285,194 3,743,646
Wisconsin 11,762,474 832,644 10,929,830
Wyoming 1,905,148 134,862 1,770,286
State Total 762,059,077 53,944,800 708,114,277
American Samoa 182,941 12,950 169,991
Guam 713,704 50,522 663,182
Northern Marianas 374,568 26,515 348,053
Palau 75,000 5,309 69,691
Virgin Islands 563,710 39,904 523,806
Outlying Areas Total 1,909,923 135,200 1,774,723
Evaluations set aside 2,111,000 0 2,111,000
Attachment 5: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_E_Acc.pdf
U.S. Department of Labor Attachment E
Employment and Training Administration
WIA Dislocated Worker Activities State Allotments
Comparison of PY 2014 vs PY 2013
Revised * %
State PY 2013 PY 2014 Difference Difference
Total with Evaluations $1,179,657,807 $1,222,457,000 $42,799,193 3.63%
Total (WIA Dislocated Worker Activities) $1,179,657,807 $1,219,087,000 $39,429,193 3.34%
Alabama 12,455,814 11,599,476 (856,338) -6.88%
Alaska 1,702,318 1,633,027 (69,291) -4.07%
Arizona 18,333,183 20,193,454 1,860,271 10.15%
Arkansas 6,881,074 7,814,651 933,577 13.57%
California 162,982,853 157,376,202 (5,606,651) -3.44%
Colorado 15,672,487 15,822,647 150,160 0.96%
Connecticut 11,913,095 13,243,210 1,330,115 11.17%
Delaware 2,136,390 2,613,882 477,492 22.35%
District of Columbia 2,733,764 2,998,287 264,523 9.68%
Florida 67,109,375 60,315,153 (6,794,222) -10.12%
Georgia 33,902,103 36,939,150 3,037,047 8.96%
Hawaii 2,658,487 1,852,830 (805,657) -30.31%
Idaho 4,113,487 3,461,421 (652,066) -15.85%
Illinois 47,415,147 54,907,799 7,492,652 15.80%
Indiana 19,210,950 22,303,621 3,092,671 16.10%
Iowa 4,479,610 4,164,521 (315,089) -7.03%
Kansas 5,244,331 5,471,022 226,691 4.32%
Kentucky 12,670,474 14,256,130 1,585,656 12.51%
Louisiana 10,343,401 10,286,901 (56,500) -0.55%
Maine 3,558,306 3,807,546 249,240 7.00%
Maryland 14,160,334 16,637,979 2,477,645 17.50%
Massachusetts 14,686,948 18,899,549 4,212,601 28.68%
Michigan 31,831,964 36,932,673 5,100,709 16.02%
Minnesota 9,577,081 9,452,346 (124,735) -1.30%
Mississippi 9,722,013 10,617,327 895,314 9.21%
Missouri 14,872,573 16,292,492 1,419,919 9.55%
Montana 1,820,084 1,659,822 (160,262) -8.81%
Nebraska 1,779,828 2,044,195 264,367 14.85%
Nevada 13,990,600 12,539,486 (1,451,114) -10.37%
New Hampshire 2,192,012 2,525,768 333,756 15.23%
New Jersey 34,280,662 38,580,867 4,300,205 12.54%
New Mexico 4,387,085 5,180,570 793,485 18.09%
New York 64,292,997 67,330,827 3,037,830 4.72%
North Carolina 36,354,385 38,671,061 2,316,676 6.37%
North Dakota 466,156 549,747 83,591 17.93%
Ohio 29,848,097 32,568,365 2,720,268 9.11%
Oklahoma 5,230,860 5,417,077 186,217 3.56%
Oregon 12,544,754 13,140,217 595,463 4.75%
Pennsylvania 35,257,512 43,100,393 7,842,881 22.24%
Puerto Rico 13,657,789 14,743,999 1,086,210 7.95%
Rhode Island 5,071,296 4,852,880 (218,416) -4.31%
South Carolina 15,453,121 15,546,400 93,279 0.60%
South Dakota 717,751 800,633 82,882 11.55%
Tennessee 18,116,992 20,840,426 2,723,434 15.03%
Texas 58,272,349 57,992,167 (280,182) -0.48%
Utah 4,299,449 3,786,657 (512,792) -11.93%
Vermont 864,140 779,524 (84,616) -9.79%
Virginia 15,640,645 15,956,793 316,148 2.02%
Washington 21,476,440 19,149,875 (2,326,565) -10.83%
West Virginia 3,992,664 4,272,884 280,220 7.02%
Wisconsin 14,349,020 16,187,134 1,838,114 12.81%
Wyoming 867,129 726,937 (140,192) -16.17%
State Total 955,591,379 998,838,000 43,246,621 4.53%
American Samoa 225,553 291,924 66,371 29.43%
Guam 1,271,032 1,138,877 (132,155) -10.40%
Northern Marianas 576,868 597,709 20,841 3.61%
Palau 119,619 119,680 61 0.05%
Virgin Islands 868,163 899,528 31,365 3.61%
Outlying Areas Total 3,061,235 3,047,718 (13,517) -0.44%
National Reserve 221,005,193 217,201,282 (3,803,911) -1.72%
Evaluations set aside 0 3,370,000 3,370,000 N/A
* The revised PY 2013 allotments are the actual amounts the Department obligated to states for PY 2013 and include the
reductions associated with sequestration on the FY 2013 advance (part of the PY 2012 allotments).
Attachment 6: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_F_Acc.pdf
U.S. Department of Labor Attachment F
Employment and Training Administration
WIA Dislocated Worker Activities
PY 2014 Allotments
State Total 7/1/2014 10/1/2014
Total with Evaluations $1,222,457,000 $162,457,000 $1,060,000,000
Total (WIA Dislocated Worker Activities) $1,219,087,000 $162,457,000 $1,056,630,000
Alabama 11,599,476 1,644,373 9,955,103
Alaska 1,633,027 231,502 1,401,525
Arizona 20,193,454 2,862,679 17,330,775
Arkansas 7,814,651 1,107,826 6,706,825
California 157,376,202 22,310,080 135,066,122
Colorado 15,822,647 2,243,062 13,579,585
Connecticut 13,243,210 1,877,394 11,365,816
Delaware 2,613,882 370,551 2,243,331
District of Columbia 2,998,287 425,045 2,573,242
Florida 60,315,153 8,550,441 51,764,712
Georgia 36,939,150 5,236,595 31,702,555
Hawaii 1,852,830 262,662 1,590,168
Idaho 3,461,421 490,700 2,970,721
Illinois 54,907,799 7,783,879 47,123,920
Indiana 22,303,621 3,161,822 19,141,799
Iowa 4,164,521 590,374 3,574,147
Kansas 5,471,022 775,587 4,695,435
Kentucky 14,256,130 2,020,988 12,235,142
Louisiana 10,286,901 1,458,299 8,828,602
Maine 3,807,546 539,768 3,267,778
Maryland 16,637,979 2,358,645 14,279,334
Massachusetts 18,899,549 2,679,252 16,220,297
Michigan 36,932,673 5,235,676 31,696,997
Minnesota 9,452,346 1,339,990 8,112,356
Mississippi 10,617,327 1,505,141 9,112,186
Missouri 16,292,492 2,309,668 13,982,824
Montana 1,659,822 235,301 1,424,521
Nebraska 2,044,195 289,791 1,754,404
Nevada 12,539,486 1,777,632 10,761,854
New Hampshire 2,525,768 358,060 2,167,708
New Jersey 38,580,867 5,469,329 33,111,538
New Mexico 5,180,570 734,412 4,446,158
New York 67,330,827 9,545,002 57,785,825
North Carolina 38,671,061 5,482,115 33,188,946
North Dakota 549,747 77,934 471,813
Ohio 32,568,365 4,616,980 27,951,385
Oklahoma 5,417,077 767,940 4,649,137
Oregon 13,140,217 1,862,793 11,277,424
Pennylvania 43,100,393 6,110,029 36,990,364
Puerto Rico 14,743,999 2,090,150 12,653,849
Rhode Island 4,852,880 687,958 4,164,922
South Carolina 15,546,400 2,203,900 13,342,500
South Dakota 800,633 113,500 687,133
Tennessee 20,840,426 2,954,396 17,886,030
Texas 57,992,167 8,221,128 49,771,039
Utah 3,786,657 536,807 3,249,850
Vermont 779,524 110,507 669,017
Virginia 15,956,793 2,262,078 13,694,715
Washington 19,149,875 2,714,738 16,435,137
West Virginia 4,272,884 605,736 3,667,148
Wisconsin 16,187,134 2,294,732 13,892,402
Wyoming 726,937 103,053 623,884
State Total 998,838,000 141,598,000 857,240,000
American Samoa 291,924 27,647 264,277
Guam 1,138,877 107,859 1,031,018
Northern Marianas 597,709 56,607 541,102
Palau 119,680 11,335 108,345
Virgin Islands 899,528 85,191 814,337
Outlying Areas Total 3,047,718 288,639 2,759,079
National Reserve Total 217,201,282 20,570,361 196,630,921
Evaluations set aside 3,370,000 0 3,370,000
Attachment 7: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_G_Acc.pdf
U. S. Department of Labor Attachment G
Employment and Training Administration
Employment Service (Wagner-Peyser)
PY 2014 vs PY 2013 Final Allotments
Final Final %
State PY 2013 PY 2014 Difference Difference
Total $664,183,664 $664,184,000 $336 0.00%
Alabama 8,569,344 8,502,449 (66,895) -0.78%
Alaska 7,219,993 7,219,997 4 0.00%
Arizona 12,527,937 12,467,698 (60,239) -0.48%
Arkansas 5,322,835 5,307,726 (15,109) -0.28%
California 79,878,737 79,586,271 (292,466) -0.37%
Colorado 10,701,027 10,685,065 (15,962) -0.15%
Connecticut 7,579,931 7,561,842 (18,089) -0.24%
Delaware 1,855,181 1,855,182 1 0.00%
District of Columbia 2,168,988 2,123,634 (45,354) -2.09%
Florida 38,965,509 38,551,390 (414,119) -1.06%
Georgia 19,478,108 19,608,469 130,361 0.67%
Hawaii 2,343,342 2,327,227 (16,115) -0.69%
Idaho 6,015,540 6,015,543 3 0.00%
Illinois 27,258,028 27,868,035 610,007 2.24%
Indiana 12,822,043 12,821,228 (815) -0.01%
Iowa 6,011,854 5,964,574 (47,280) -0.79%
Kansas 5,554,935 5,526,029 (28,906) -0.52%
Kentucky 8,512,743 8,506,643 (6,100) -0.07%
Louisiana 8,134,111 8,094,739 (39,372) -0.48%
Maine 3,577,384 3,577,386 2 0.00%
Maryland 11,522,943 11,906,489 383,546 3.33%
Massachusetts 13,248,486 13,409,175 160,689 1.21%
Michigan 21,625,084 21,291,774 (333,310) -1.54%
Minnesota 11,084,590 10,993,540 (91,050) -0.82%
Mississippi 5,719,384 5,674,402 (44,982) -0.79%
Missouri 11,976,795 11,888,860 (87,935) -0.73%
Montana 4,915,929 4,915,931 2 0.00%
Nebraska 5,725,191 5,605,477 (119,714) -2.09%
Nevada 6,161,654 6,117,652 (44,002) -0.71%
New Hampshire 2,642,832 2,650,012 7,180 0.27%
New Jersey 19,163,183 19,124,756 (38,427) -0.20%
New Mexico 5,516,538 5,516,541 3 0.00%
New York 38,535,164 38,504,428 (30,736) -0.08%
North Carolina 19,585,198 19,555,320 (29,878) -0.15%
North Dakota 5,005,887 5,005,890 3 0.00%
Ohio 23,954,983 23,710,251 (244,732) -1.02%
Oklahoma 6,384,955 6,461,834 76,879 1.20%
Oregon 8,218,324 8,138,876 (79,448) -0.97%
Pennsylvania 25,228,309 25,781,009 552,700 2.19%
Puerto Rico 7,059,087 6,911,482 (147,605) -2.09%
Rhode Island 2,471,893 2,453,424 (18,469) -0.75%
South Carolina 9,156,659 9,079,879 (76,780) -0.84%
South Dakota 4,626,591 4,626,593 2 0.00%
Tennessee 12,520,213 12,636,661 116,448 0.93%
Texas 47,277,917 47,954,459 676,542 1.43%
Utah 6,532,457 6,395,863 (136,594) -2.09%
Vermont 2,167,358 2,167,359 1 0.00%
Virginia 15,425,187 15,390,720 (34,467) -0.22%
Washington 13,893,830 13,819,721 (74,109) -0.53%
West Virginia 5,295,589 5,295,592 3 0.00%
Wisconsin 11,835,302 11,820,318 (14,984) -0.13%
Wyoming 3,589,533 3,589,535 2 0.00%
State Total 662,564,615 662,564,950 335 0.00%
Guam 310,787 310,787 0 0.00%
Virgin Islands 1,308,262 1,308,263 1 0.00%
Outlying Areas Total 1,619,049 1,619,050 1 0.00%
Attachment 8: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_H_Acc.pdf
U. S. Department of Labor Attachment H
Employment and Training Administration
Workforce Information Grants to States
PY 2014 vs PY 2013 Allotments
State PY 2013 PY 2014 Difference % Difference
Total $31,939,520 $32,000,000 $60,480 0.19%
Alabama 507,498 507,835 337 0.07%
Alaska 289,152 289,243 91 0.03%
Arizona 611,887 612,836 949 0.16%
Arkansas 413,051 407,384 (5,667) -1.37%
California 2,494,284 2,512,037 17,753 0.71%
Colorado 577,616 581,206 3,590 0.62%
Connecticut 477,665 471,257 (6,408) -1.34%
Delaware 298,044 298,885 841 0.28%
District of Columbia 287,102 289,809 2,707 0.94%
Florida 1,377,539 1,391,578 14,039 1.02%
Georgia 824,786 831,404 6,618 0.80%
Hawaii 324,046 323,731 (315) -0.10%
Idaho 339,198 339,000 (198) -0.06%
Illinois 1,048,080 1,046,809 (1,271) -0.12%
Indiana 633,362 629,369 (3,993) -0.63%
Iowa 446,571 445,306 (1,265) -0.28%
Kansas 427,285 426,480 (805) -0.19%
Kentucky 496,768 498,878 2,110 0.42%
Louisiana 496,842 499,691 2,849 0.57%
Maine 330,683 331,051 368 0.11%
Maryland 620,509 626,679 6,170 0.99%
Massachusetts 666,310 669,155 2,845 0.43%
Michigan 812,448 815,743 3,295 0.41%
Minnesota 607,376 607,750 374 0.06%
Mississippi 407,924 405,143 (2,781) -0.68%
Missouri 612,833 610,737 (2,096) -0.34%
Montana 306,346 306,821 475 0.16%
Nebraska 368,239 370,589 2,350 0.64%
Nevada 411,657 411,954 297 0.07%
New Hampshire 334,747 335,427 680 0.20%
New Jersey 803,433 807,150 3,717 0.46%
New Mexico 357,589 358,969 1,380 0.39%
New York 1,408,967 1,414,730 5,763 0.41%
North Carolina 814,453 820,492 6,039 0.74%
North Dakota 291,774 293,355 1,581 0.54%
Ohio 950,865 944,285 (6,580) -0.69%
Oklahoma 463,255 465,806 2,551 0.55%
Oregon 486,746 480,795 (5,951) -1.22%
Pennsylvania 1,030,074 1,039,220 9,146 0.89%
Puerto Rico 400,028 389,936 (10,092) -2.52%
Rhode Island 312,502 312,805 303 0.10%
South Carolina 506,743 509,004 2,261 0.45%
South Dakota 298,818 299,407 589 0.20%
Tennessee 624,764 624,985 221 0.04%
Texas 1,778,866 1,796,213 17,347 0.98%
Utah 408,422 413,138 4,716 1.15%
Vermont 288,122 287,830 (292) -0.10%
Virginia 773,526 759,585 (13,941) -1.80%
Washington 671,854 668,760 (3,094) -0.46%
West Virginia 342,244 342,636 392 0.11%
Wisconsin 618,228 618,083 (145) -0.02%
Wyoming 281,744 282,229 485 0.17%
State Total 31,762,865 31,823,200 60,335 0.19%
Guam 93,009 93,090 81 0.09%
Virgin Islands 83,646 83,710 64 0.08%
Outlying Areas Total 176,655 176,800 145 0.08%
Attachment 9: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_I_Acc.pdf
Attachment I
WORKFORCE INVESTMENT ACT (WIA) PROGRAM
ANNUAL FUNDING AGREEMENT
(Including Mod 0, initial Notice of Obligation)
PY 2014
Grant/Agreement No. AA - CFDA #17.258 WIA Adult Program
(To be completed by DOL) CFDA #17.259 WIA Youth Activities
CFDA #17.278 WIA Dislocated Workers
1. Parties: Pursuant to the Governor/Secretary Agreement provided for at 20 CFR 667.110 and 20
CFR 667.105, this grant agreement is entered into between the U.S. Department of Labor,
Employment and Training Administration (Grantor) and the STATE/COMMONWEALTH of
(Grantee).
2. Grant Funds: This grant agreement applies to funds appropriated for Program Year (PY) 2014
for WIA Title I State formula-funded Youth, Adult and Dislocated Worker programs. Thus, it
includes the Fiscal Year 2015 Advance funds to be appropriated for PY 2014.
3. Applicable Authority: Funds provided under this grant agreement must be expended in
accordance with all applicable federal statutes, regulations and policies, including those of the
Workforce Investment Act (as presently in effect and as may become effective during the terms
of this Agreement); the applicable approved State WIA plan including approved modifications
and amendments to the plan, and any waiver plan approved under 20 CFR 661.420 or Workforce
Flexibility (Workflex) plan approved under 20 CFR 661.430; the negotiated performance levels
and policies established pursuant to the Secretary’s authority under WIA Section 136; and the
applicable provisions in the appropriations act(s).
4. Grant Period: This period of availability of funds is effective April 1, 2014 for Youth funds (July
1, 2014 for Adult and Dislocated Worker funds) through June 30, 2017.
5. Notice of Obligation: Funds shall be obligated and allocated via a Notice of Obligation (NOO)
grant modification. Obligations and costs may not exceed the amount obligated by the NOO
modification unless otherwise modified by the Grantor. Upon execution of this agreement, the
“Modification 0” supplement to the agreement will serve as the initial PY 2014, Notice of
Obligation. Funds are obligated for the amount indicated in the “Modification 0” document in
accordance with the Grantee’s PY 2014 allotment levels. The Federal obligation level will be
amended by the Grant Officer to increase (or adjust) amounts available to the Grantee as funds
become available for obligation and additional Notice of Obligation (or Deobligation) grant
modifications are required and issued.
6. Electronic Fund Transfers: Cash payments shall be made to the Grantee under the Department of
Health and Human Services (HHS) Payment Management System (PMS).
7. Certifications and Assurances: The following are incorporated by reference and are a part
of this agreement:
CERTIFICATION REGARDING LOBBYING
(29 CFR Part 93)
DRUG-FREE WORKPLACE REQUIREMENTS CERTIFICATION
(29 CFR Part 98)
NONDISCRIMINATION AND EQUAL OPPORTUNITY ASSURANCE
(29 CFR Part 37)
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS-- PRIMARY COVERED TRANSACTIONS
(29 CFR Part 98)
STANDARD FORM 424B (STANDARD ASSURANCES (NON
CONSTRUCTION PROGRAMS)
8. Other Administrative Requirements: In performing its responsibilities under this
agreement, the grantee further certifies and assures that it will fully comply with:
29 CFR Part 97 (Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments) and the 29 CFR Part 97 clarifications and
exceptions specified below:
29 CFR 97.25 - Program Income. Grantees shall use the Addition method for
computing Program Income. The grantee may deduct those costs incident to generation of
program income from gross income to determine net program income provided that such
costs were not charged to grant funds under this agreement.
29 CFR 97.31 - Property. Real property includes both real property acquired under
this agreement and real property transferred to this agreement from prior agreements.
29 CFR 97.32 - Equipment and 29 CFR 97.33 - Supplies. Equipment and Supplies
includes both equipment and supplies acquired under this agreement and equipment and
supplies transferred to this agreement from prior agreements.
29 CFR 97.41 (a) and (b) – Financial Reporting.
29 CFR 97.41 (b) – The Employment and Training Administration (ETA) has
implemented the Office of Management and Budget (OMB)-approved quarterly financial
reporting form to be used for financial reporting starting with the quarter which ended
September 30, 2007. The reporting instructions for the form are posted on the
www.doleta.gov/grants/financial_reporting.cfm website. State grantees are required to
use the ETA Web-based reporting system for the filing of quarterly financial status
reports. A separate report must be completed each quarter for each funding source (See
Fund Type) provided under this agreement until such time as such funds for a given year
have been expended or expired (i.e., expired due to statutory provision or expired due to
terms of a specific grant/plan, as applicable). The software provided to grantees by the
grantor agency will contain a menu listing all funding source reporting options to assist
the grantees in full reporting coverage.
29 CFR 97.41 (b) (2) – As the awarding agency, the Employment and Training
Administration requires grantees to report program outlays (expenditures) on an accrual
basis. If the grantee’s accounting records are not normally kept on the accrual basis, the
grantee shall not be required to convert its accounting system but shall develop such
accrual information through an analysis of the documentation on hand.
29 CFR 97.41 (c) (1) - The grantee is exempted from the requirement to submit the SF-
272, Federal Cash Transactions Report, and the SF-272a, Federal Cash Transactions
Report, continuation sheet, provided that the grantee files the SF- 272 (e) electronic report
in accordance with the HHS Payment Management System requirements.
OMB Circular A-87 Revised (Cost Principles for State and Local Governments)
(See http://www.whitehouse.gov/omb/grants_circulars) and the provisions and exceptions
specified below:
For those selected items of cost requiring prior approval, the authority to grant or deny
approval is delegated to the Governor (20 CFR 667.200(c)) for programs funded under
this Agreement except that the Secretary reserves the right to require transfer of title in
accordance with the provisions at 29 CFR 97.32 (g).
29 CFR Part 96 and 99 (Audit Requirements). These requirements apply as
supplemented by the WIA regulations at 20 CFR 667.200 (b).
Intergovernmental Personnel Act (42 U.S.C. 4701) and amendments thereto.
9. Veterans’ Priority Provisions: This program, funded by the U.S. Department of Labor is
subject to the priority of service requirements of 38 USC 4215 and 20 CFR Part 1010. Section
4215 of Title 38 requires that priority of service be provided to veterans and spouses of certain
service members and veterans for the receipt of employment, training, and placement services.
Agreement by a program operator to implement priority of service is a condition of receipt of
DOL funds. The Planning Guidance (either the Stand-Alone Planning Guidance at 73 FR
72853 (December 1, 2008)) or the Unified Planning Guidance at 73 FR 73730 (December 3,
2008) requires states to describe the policies and strategies in place to ensure that priority of
service is provided to veterans (and certain spouses) who otherwise meet the eligibility
requirements for all employment and training programs funded in whole or in part by the U.S.
Department of Labor. In addition, the states are required to provide assurances that they will
comply with the Veterans’ Priority of Service Provisions in 38 USC 4215 and Training and
Employment Guidance Letter (TEGL) No. 10-09 (issued November 10, 2009). TEGL No. 10-
09 is available at http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816
10. Buy American Notice Requirement: In the case of any equipment or product that may be
authorized to be purchased with financial assistance provided using funds available under the
Workforce Investment Act, it is the sense of the Congress that entities receiving the assistance
should, in expending the assistance, purchase only American-made equipment and products, as
required by the Buy American Act (41 USC 10a et seq.). See WIA Section 505—Buy
American Requirements.
11. Salary and Bonus Limitations: None of the funds appropriated under the heading
‘Employment and Training’ in the appropriation statute(s) may be used by a recipient or
subrecipient of such funds to pay the salary and bonuses of an individual, either as direct costs
or indirect costs, at a rate in excess of Executive Level II. This limitation shall not apply to
vendors providing goods and services as defined in OMB Circular A-133 (codified at 29 CFR
Parts 96 and 99). Where States are recipients of such funds, States may establish a lower limit
for salaries and bonuses of those receiving salaries and bonuses from subrecipients of such
funds, taking into account factors including the relative cost-of-living in the State, the
compensation levels for comparable State or local government employees, and the size of the
organizations that administer Federal programs involved including Employment & Training
Administration programs. See Public Law 113-76 (Division H, Title I, Section 105), and
Training and Employment Guidance Letter number 05-06 for further clarification. TEGL No.
05-06 is available at http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262.
12. Intellectual Property Rights: The Federal Government reserves a paid-up, nonexclusive and
irrevocable license to reproduce, publish or otherwise use, and to authorize others to use for
federal purposes: i) the copyright in all products developed under the grant, including a
subgrant or contract under the grant or subgrant; and ii) any rights of copyright to which the
grantee, subgrantee or a contractor purchases ownership under an award (including but not
limited to curricula, training models, technical assistance products, and any related materials).
Such uses include, but are not limited to, the right to modify and distribute such products
worldwide by any means, electronically or otherwise. Federal funds may not be used to pay
any royalty or license fee for use of a copyrighted work, or the cost of acquiring by purchase a
copyright in a work, where the Department has a license or rights of free use in such work. If
revenues are generated through selling products developed with grant funds, including
intellectual property, these revenues are program income. Program income is added to the
grant and must be expended for allowable grant activities.
If applicable, the following needs to be on all products developed in whole or in part
with grant funds:
“This workforce product was funded by a grant awarded by the U.S. Department of
Labor’s Employment and Training Administration. The product was created by the
grantee and does not necessarily reflect the official position of the U.S. Department of
Labor. The Department of Labor makes no guarantees, warranties, or assurances of
any kind, express or implied, with respect to such information, including any
information on linked sites and including, but not limited to, accuracy of the
information or its completeness, timeliness, usefulness, adequacy, continued
availability, or ownership. This product is copyrighted by the institution that created
it. Internal use by an organization and/or personal use by an individual for non-
commercial purposes is permissible. All other uses require the prior authorization of
the copyright owner.”
13. Transparency Act: Federal Funding Accountability and Transparency Act of 2006 Pub. L.
109-282 as amended by section 6202 of Pub. L. 110-252 (“FFATA”). Grantees must ensure
that they have the necessary processes and systems in place to comply with the reporting
requirements of FFATA. See Training and Employment Guidance Letter (TEGL) No. 11-10
(issued November 15, 2010) http://wdr.doleta.gov/directives/attach/TEGL/TEGL11-10acc.pdf
and attachment to this agreement.
14 Executive Order 13333: This agreement may be terminated without penalty, if the grantee or any
subgrantee, or the contractor or any subcontractor engages in: “(i) severe forms of trafficking in
persons; (ii) the procurement of a commercial sex act during the period of time that the grant,
contract, or cooperative agreement is in effect;(iii) the use of forced labor in the performance of
the grant, contract, or cooperative agreement; or (iv) acts that directly support or advance
trafficking in persons.” (22 U.S.C. § 7104(g))
15. Special Requirements for Conferences and Conference Space: Grantee must obtain prior approval
from the Grantor before holding any conference (which includes meeting, retreat, seminar,
symposium, training activity or similar event held in either Federal on non-Federal space), or any
activity related to holding a conference, including, but not limited to, obligating or expending
Grantor funds, signing contracts for space or services, announcing Grantor’s involvement in any
conference, and using Grantor official’s name or Grantor’s name or logo. Grantor retains the right
to obtain information from the Grantee about any conference that is funded in whole or in part
with Grantor funds.
16. Seat Belts: Pursuant to Executive Order (EO) 13043 (April 16, 1997), Increasing the Use of
Seat Belts in the United States, recipients are encouraged to adopt and enforce on-the-job seat
belt policies and programs for their employees when operating vehicles, whether
organizationally owned or rented or personally owned.
17. Executive Order 13513: Sec. 4. Text Messaging While Driving by Government Contractors,
Subcontractors, and Recipients and Subrecipients. Contractors, subcontractors, and recipients
and subrecipients are encouraged to adopt and enforce policies that ban text messaging while
driving company-owned or -rented vehicles or Government-owned, Government-leased, or
Government-rented vehicles, or while driving privately-owned vehicles when on official
Government business or when performing any work for or on behalf of the Government, and
to conduct initiatives of the type described in section 3(a) of the Executive Order.
18. Signatory Information: By signing below, the signatories agree to the terms and conditions of
this agreement, including all applicable assurances and certifications, on behalf of their
respective agencies indicated below. In the absence of a signature by the Grantee only, this
award is nevertheless effective by virtue of Grantee’s electronic signature on the SF-424 upon
which this award is based. In addition, the Grantee’s expenditure of any funds properly
granted hereunder constitutes acceptance of the award, including any new or additional terms
and conditions as may be attached hereto.
FOR GRANTEE:
PMS EIN #:__________________________
PMS PIN ACCT #:________________________
See SF-424 Signature and Clause 18 above
BY____________________________________________________________________
(Governor/Authorized Signatory) Signature Date
FOR GRANTOR: U.S. Department of Labor/Employment and Training Administration
200 Constitution Ave NW; Room N-4716; Washington, DC 20210
_______________________________________________________________________
THOMAS C. MARTIN Signature Date
Grant Officer
Attachment to Workforce Investment Act (WIA) Program Annual Funding Agreement
WIA Agreement Clause No.13 (“Transparency Act”) Attachment
This Grant is subject to the following Transparency Act requirements:
2 CFR Part 170
Appendix A to Part 170--Award Term
I. Reporting Subawards and Executive Compensation.
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each
action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in
section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward
to an entity (see definitions in paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following the month in which the
obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be
reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the submission
instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your five most highly
compensated executives for the preceding completed fiscal year, if--
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received--
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts)
and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts)
and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards) and
iii. The public does not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or
section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in paragraph b.1. of
this award term:
i. As part of your registration profile at http://www.sam.gov
ii. By the end of the month following the month in which this award is made, and annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for
each first-tier subrecipient under this award, you shall report the names and total compensation of each of
the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal
year,
if--
i. in the subrecipient's preceding fiscal year, the subrecipient received--
(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts)
and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts),
and Federal financial assistance subject to the Transparency Act (and subawards); and
ii. The public does not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or
section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation described in
paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward. For example, if a
subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and
31), you must report any required compensation information of the subrecipient by November 30 of that year.
d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the
requirements to report:
i. Subawards, and
ii. The total compensation of the five most highly compensated executives of any subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.
2. Executive means officers, managing partners, or any other employees in management positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of any portion of the substantive
project or program for which you received this award and that you as the recipient award to an eligible
subrecipient.
ii. The term does not include your procurement of property and services needed to carry out the project or
program (for further explanation, see Sec. ---- .210 of the attachment to OMB Circular A-
133, ``Audits of States, Local Governments, and Non-Profit Organizations'').
iii. A subaward may be provided through any legal agreement, including an agreement that you or a
subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive during the
recipient's or subrecipient's preceding fiscal year and includes the following (for more information see
17 CFR 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial
statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non-equity incentive plans. This does not include group life, health,
hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are
available generally to all salaried employees.
iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension
plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination
payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive
exceeds $10,000.
2 CFR Subtitle A, Chapter I and Part 25
Appendix A to Part 25--Award Term
I. Central Contractor Registration and Universal Identifier Requirements
A. Requirement for Central Contractor Registration (CCR)
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the
currency of your information in the CCR until you submit the final financial report required under this award or
receive the final payment, whichever is later. This requires that you review and update the information at
least annually after the initial registration, and more frequently if required by changes in your information or
another award term.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may
receive a subaward from you unless the entity has provided its DUNS number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.
C. Definitions
For purposes of this award term:
1. Central Contractor Registration (CCR) means the Federal repository into which an entity must provide
information required for the conduct of business as a recipient. The CCR process has recently migrated to
the System for Award Management (SAM). Additional information about registration
procedures may be found at http://www.sam.gov .
2. Data Universal Numbering System (DUNS) number means the nine-digit number established and
assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be
obtained
from D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C:
a. A Governmental organization, which is a State, local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of any portion of the substantive
project or program for which you received this award and that you as the recipient award to an eligible
subrecipient.
b. The term does not include your procurement of property and services needed to carry out the project or
program (for further explanation, see Sec. ----.210 of the attachment to OMB Circular A-133, ``Audits of
States, Local Governments, and Non-Profit Organizations'').
c. A subaward may be provided through any legal agreement, including an agreement that you consider a
contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
Attachment 10: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2014/TEGL_18_13_Attachment_J_Acc.pdf
Attachment J
WAGNER-PEYSER ACT (W-PA)
ANNUAL FUNDING AGREEMENT
(Including Mod 0, initial Notice of Obligation)
PY 2014/FY 2015
Grant Number: CFDA #17.207 Employment Service/Wagner-Peyser
(To be completed by DOL) CFDA #17.271 Work Opportunity Tax Credit Program
1. Parties. Consistent with the Governor/Secretary Agreement provided for at 20 CFR
652.4(b) and 20 CFR 667.110, this grant agreement is entered into between the U.S.
Department of Labor (Grantor) and the STATE/COMMONWEALTH OF
(Grantee).
2. Grant Funds. This grant agreement applies to funds appropriated for Program Year
(PY) 2014 and Fiscal Year (FY) 2015 for the purposes of carrying out activities
authorized under Sections 7(a) through 7(e) of the Wagner-Peyser Act (W-PA), as
amended.
3. Applicable Authority. Funds under this grant agreement must be expended in
accordance with all applicable federal statutes, regulations and policies, including those of
the Wagner-Peyser Act, as amended; the applicable and approved State plan(s) and any
amendments; any negotiated performance levels; specifically approved statutory and
regulatory waivers applicable to these funds; and the applicable provisions in the
appropriation acts for these funds. The applicable State plans referenced above include the
WIA/W-PA five-year Strategic State Plan and any modifications thereto (and for CO, MA,
and MI only: including any demonstration of alternative service delivery methods
approved as part of the applicable State Plan) and any other annual plans required for the
receipt of funds under this agreement (e.g. cost reimbursable grants).
4. Grant Expenditure Period. This Annual Funding Agreement is effective July 1, 2014
and expires September 30, 2017 to allow for funds allocated under this agreement to be
fully expended in accordance with the statutory/regulatory life of the different fund sources
(subject to availability of Federal funds) including, but not limited to: Wagner-Peyser
Employment Service, Workforce Information Grants, and the Work Opportunity
Tax Credit Program. However, any non-formula or discretionary awards are subject to
the terms and conditions of the specific awards and plan approvals which may include
reduced expenditure periods. Commencement of expenditures is subject to the issuance of
federal obligation authority for each grant account funded under this agreement, unless
preaward costs are approved via a continuing resolution or otherwise.
5. Notice of Obligation. Funds shall be obligated to the Grantee via a Notice of Obligation
(NOO). Obligations and costs may not exceed the amount obligated by the NOO unless
otherwise modified by the Grantor. This agreement includes the initial PY 2014 and FY 2015
NOO for the program which is provided as a “Modification 0” NOO Attachment to this
agreement. Funds are obligated for the amount indicated in the NOO in accordance with the
Grantee’s approved funding allocations. Subsequent PY 2014 and FY 2015 allocations will
be provided via grant modification/NOOs.
6. Electronic Fund Transfers. Payments shall be made to the Grantee under the Department of
Health and Human Services (HHS) Payment Management System (PMS).
7. Standard Certifications and Assurances. The following certifications and assurances are
incorporated by reference and made a part of this agreement, include the following:
CERTIFICATION REGARDING LOBBYING
(29 CFR Part 93)
DRUG FREE WORKPLACE REQUIREMENTS CERTIFICATION
(29 CFR Part 98)
NONDISCRIMINATION AND EQUAL OPPORTUNITY ASSURANCE
(29 CFR Part 37)
STANDARD FORM 424b - STANDARD ASSURANCES (NON-CONSTRUCTION
PROGRAMS)
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS PRIMARY COVERED TRANSACTIONS
(29 CFR PART 98)
8. Other Administrative Requirements. In performing its responsibilities under this
agreement, the grantee further certifies and assures that it will fully comply with:
29 CFR Part 97 (Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments) and the 29 CFR Part 97 clarifications and exceptions specified
below:
29 CFR 97.25 - Program Income. Grantees shall use the Addition method for computing
Program Income. The grantee may deduct those costs incident to generation of program income
from gross income to determine net program income provided that such costs were not charged
to grant funds under this agreement.
29 CFR 97.31 - Property. Real property includes both real property acquired under this
agreement and real property transferred to this agreement from prior agreements.
29 CFR 97.32 - Equipment and 29 CFR 97.33 - Supplies. Equipment and Supplies includes both
equipment and supplies acquired under this agreement and equipment and supplies transferred to
this agreement from prior agreements.
Financial Reporting
29 CFR 97.41 (a) and (b) - These are the general parameters for financial reporting.
29 CFR 97.41 (b) – The Employment and Training Administration (ETA) has implemented the
Office of Management and Budget (OMB)-approved quarterly financial reporting form to be
used for financial reporting starting with the quarter which ended September 30, 2007. The
reporting instructions for the form are posted on the
www.doleta.gov/grants/financial_reporting.cfm website. State grantees are required to use the
ETA Web-based reporting system for the filing of quarterly financial status reports. A separate
report must be completed each quarter for each funding source (See Fund Type) provided under
this agreement until such time as such funds for a given year have been expended or expired
(i.e., expired due to statutory provision or expired due to terms of a specific grant/plan, as
applicable). The software provided to grantees by the grantor agency will contain a menu listing
all funding source reporting options to assist the grantees in full reporting coverage.
29 CFR 97.41 (b) (2) – As the awarding agency, the Employment and Training Administration
requires grantees to report program outlays (expenditures) on an accrual basis. If the grantee’s
accounting records are not normally kept on the accrual basis, the grantee shall not be required to
convert its accounting system but shall develop such accrual information through an analysis of
the documentation on hand.
29 CFR 97.41 (c) (1) - The grantee is exempted from the requirement to submit the SF-272,
Federal Cash Transactions Report, and the SF-272a, Federal Cash Transactions Report,
continuation sheet, provided that the grantee files the SF- 272 (e) electronic report in accordance
with the HHS Payment Management System requirements.
OMB Circular A-87 Revised (Cost Principles for State and Local Governments)
(See http://www.whitehouse.gov/omb/grants_circulars) and the provisions and exceptions
specified below:
For those selected items of cost requiring prior approval, the authority to grant or deny approval
is delegated to the State for programs funded under this Agreement except that the Secretary
reserves the right to require transfer of title on nonexpendable Automated Data Processing
Equipment in accordance with the provisions at 29 CFR 97.32 (g). Pursuant to 20 CFR
652.8(d)(2), the Secretary reserves the right to exercise prior approval authority in other areas,
after providing advance notice to the State. Accordingly, capital expenditures for real property
are allowable as a direct cost only if approved by the Secretary (Grantor).
For personnel benefit costs charged to Wagner-Peyser Act funds on behalf of Employment
Service (ES) employees who are members of fringe benefit plans which do not meet the
requirements of OMB Circular A-87, Appendix B, Item 8, the costs of employer contributions or
expenses incurred for ES fringe benefit plans are allowable as an addition to OMB Circular A-
87, provided that:
(i) For retirement plans: (A) all covered employees joined the plan before October 1, 1983; (B)
the plan is authorized by State law; (C) the plan was previously approved by the Secretary; (D)
the plan is insured by a private carrier which is licensed to operate this type of plan in the
applicable State; and (E) any dividends or similar credits because of participation in the plan are
credited against the next premium falling due under the contract;
(ii) For all ES fringe benefit plans other than retirement plans, if the Secretary granted a time
extension after October 1, 1983, to the existing approval of such a plan, costs of the plan are
allowable until such time as the plan is comparable in cost and benefits to fringe benefit plans
available to other similarly employed ES employees. At such time as the cost and benefits of an
approved fringe benefit plan are equivalent to the cost and benefits of plans available to other
similarly employed ES employees, the time extension will cease and the cited requirements of
OMB Circular A-87 will apply; and
(iii) For retirement plans and all other fringe benefit plans covered in (i) and (ii) of this
paragraph, any additional costs resulting from improvements of the plans made after October 1,
1983, are not chargeable to funds under this agreement.
29 CFR PART 96 and 99 (Audit Requirements). These requirements apply as supplemented by
the Wagner-Peyser Act regulations at 20 CFR 652.8(f).
Intergovernmental Personnel Act (42 U.S.C. 4701) and amendments thereto.
9. Veterans’ Priority Provisions. This program, funded by the U.S. Department of Labor is
subject to the priority of service requirements of 38 USC 4215 and 20 CFR Part 1010.
Section 4215 of Title 38 requires that priority of service be provided to veterans and spouses
of certain service members and veterans for the receipt of employment, training, and
placement services. Agreement by a program operator to implement priority of service is a
condition of receipt of DOL funds. The Planning Guidance (either the Stand-Alone Planning
Guidance at 73 FR 72853 (December 1, 2008)) or the Unified Planning Guidance at 73 FR
73730 (December 3, 2008) requires states to describe the policies and strategies in place to
ensure that priority of service is provided to veterans (and certain spouses) who otherwise
meet the eligibility requirements for all employment and training programs funded in whole or
in part by the U.S. Department of Labor. In addition, the states are required to provide
assurances that they will comply with the Veterans’ Priority of Service Provisions in 38 USC
4215 and Training and Employment Guidance Letter (TEGL) No. 10-09 (issued November
10, 2009). TEGL No. 10-09 is available at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816.
10. Buy American Notice Requirement: In the case of any equipment or product that may
be authorized to be purchased with financial assistance provided using funds available under
this Agreement, it is the sense of the Congress that entities receiving the assistance should, in
expending the assistance, purchase only American-made equipment and products, as required
by the Buy American Act (41 USC 10a et seq.).
11. Salary and Bonus Limitations. None of the funds appropriated under the heading
‘Employment and Training’ in the appropriations statute(s) may be used by a recipient or
subrecipient of such funds to pay the salary and bonuses of an individual, either as direct
costs or indirect costs, at a rate in excess of Executive Level II. This limitation shall not
apply to vendors providing goods and services as defined in OMB Circular A-133 (codified
at 29 CFR Parts 96 and 99). Where States are recipients of such funds, States may establish a
lower limit for salaries and bonuses of those receiving salaries and bonuses from
subrecipients of such funds, taking into account factors including the relative cost-of-living
in the State, the compensation levels for comparable State or local government employees,
and the size of the organizations that administer Federal programs involved including
Employment & Training Administration programs. See Public Laws 113-76 (Division H,
Title I, Section 105), TEGL No. 05-06 for further clarification. TEGL No. 05-06 is available
at http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262
12. Intellectual Property Rights: The Federal Government reserves a paid-up, nonexclusive
and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use for
federal purposes: i) the copyright in all products developed under the grant, including a subgrant
or contract under the grant or subgrant; and ii) any rights of copyright to which the grantee,
subgrantee or a contractor purchases ownership under an award (including but not limited to
curricula, training models, technical assistance products, and any related materials). Such uses
include, but are not limited to, the right to modify and distribute such products worldwide by any
means, electronically or otherwise. Federal funds may not be used to pay any royalty or license
fee for use of a copyrighted work, or the cost of acquiring by purchase a copyright in a work,
where the Department has a license or rights of free use in such work. If revenues are generated
through selling products developed with grant funds, including intellectual property, these
revenues are program income. Program income is added to the grant and must be expended for
allowable grant activities.
If applicable, the following needs to be on all products developed in whole or in part
with grant funds:
“This workforce product was funded by a grant awarded by the U.S. Department of
Labor’s Employment and Training Administration. The product was created by the
grantee and does not necessarily reflect the official position of the U.S. Department of
Labor. The Department of Labor makes no guarantees, warranties, or assurances of
any kind, express or implied, with respect to such information, including any
information on linked sites and including, but not limited to, accuracy of the
information or its completeness, timeliness, usefulness, adequacy, continued
availability, or ownership. This product is copyrighted by the institution that created
it. Internal use by an organization and/or personal use by an individual for non-
commercial purposes is permissible. All other uses require the prior authorization of
the copyright owner.”
13. Federal Funding Accountability and Transparency Act. Federal Funding Accountability
and Transparency Act of 2006 Pub. L. 109-282 as amended by section 6202 of Pub. L. 110-252
(“FFATA”). Grantees must ensure that they have the necessary processes and systems in place
to comply with the reporting requirements of FFATA. See Training and Employment Guidance
Letter (TEGL) No. 11-10 (issued November 15, 2010)
http://wdr.doleta.gov/directives/attach/TEGL/TEGL11-10acc.pdf , and attachment to this
agreement.
14. Executive Order 13333: This agreement may be terminated without penalty, if the grantee
or any subgrantee, or the contractor or any subcontractor engages in “(i) severe forms of
trafficking in persons; (ii) the procurement of a commercial sex act during the period of time that
the grant, contract, or cooperative agreement is in effect; (iii) the use of forced labor in the
performance of the grant, contract, or cooperative agreement; or (iv) acts that directly support or
advance trafficking in persons.” (22 U.S.C. § 7104(g))
15. Special Requirements for Conferences and Conference Space: Grantee must obtain prior
approval from the Grantor before holding any conference (which includes meeting, retreat,
seminar, symposium, training activity or similar event held in either Federal on non-Federal
space), or any activity related to holding a conference, including, but not limited to, obligating or
expending Grantor funds, signing contracts for space or services, announcing Grantor’s
involvement in any conference, and using Grantor official’s name or Grantor’s name or logo.
Grantor retains the right to obtain information from the Grantee about any conference that is
funded in whole or in part with Grantor funds.
16. Seat Belts: Pursuant to Executive Order (EO) 13043 (April 16, 1997), Increasing the Use of
Seat Belts in the United States, recipients are encouraged to adopt and enforce on-the-job seat
belt policies and programs for their employees when operating vehicles, whether
organizationally owned or rented or personally owned.
17. Executive Order 13513: Sec. 4. Text Messaging While Driving by Government
Contractors, Subcontractors, and Recipients and Subrecipients. Contractors, subcontractors, and
recipients and subrecipients are encouraged to adopt and enforce policies that ban text messaging
while driving company-owned or -rented vehicles or Government-owned, Government-leased, or
Government-rented vehicles, or while driving privately-owned vehicles when on official
Government business, or when performing any work for or on behalf of the Government and to
conduct initiatives of the type described in section 3(a) of the Executive Order.
18. Signatory Information: By signing below, the signatories agree to the terms and
conditions of this agreement, including all applicable assurances and certifications, on behalf of
their respective agencies indicated below. In the absence of a signature by the Grantee only, this
award is nevertheless effective by virtue of Grantee’s electronic signature on the SF-424 upon
which this award is based. In addition, the Grantee’s expenditure of any funds properly granted
hereunder constitutes acceptance of the award, including any new or additional terms and
conditions as may be attached hereto.
FOR GRANTEE:
PMS EIN #:__________________________
PMS PIN ACCT #:________________________
See SF-424 Signature and Clause 18 above
BY____________________________________________________________________
(Governor/Authorized Signatory) Signature Date
FOR GRANTOR: U.S. Department of Labor/Employment and Training Administration
200 Constitution Ave NW; Room N-4716; Washington, DC 20210
_______________________________________________________________________
THOMAS C. MARTIN Signature Date
Grant Officer
Attachment to Wagner-Peyser Act (W-PA) Annual Funding Agreement
W-PA Agreement Clause No.13 (“Transparency Act”) Attachment
This Grant is subject to the following Transparency Act requirements:
2 CFR Part 170
Appendix A to Part 170--Award Term
I. Reporting Subawards and Executive Compensation.
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each
action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in
section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward
to an entity (see definitions in paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following the month in which the
obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be
reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the submission
instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your five most highly
compensated executives for the preceding completed fiscal year, if--
i. the total Federal funding authorized to date under this award is $25,000 or more;
iiin the preceding fiscal year, you received--
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts)
and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts)
and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards) and
iii. The public does not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d))
or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in paragraph b.1. of
this award term:
i. As part of your registration profile at http://www.sam.gov
ii. By the end of the month following the month in which this award is made, and annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for
each first-tier subrecipient under this award, you shall report the names and total compensation of each of
the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal
year,
if--
i. in the subrecipient's preceding fiscal year, the subrecipient received--
(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts)
and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts),
and Federal financial assistance subject to the Transparency Act (and subawards); and
ii. The public does not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or
section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation described in
paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward. For example, if a
subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and
31), you must report any required compensation information of the subrecipient by November 30 of that year.
d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the
requirements to report:
i. Subawards, and
ii. The total compensation of the five most highly compensated executives of any subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.
2. Executive means officers, managing partners, or any other employees in management positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of any portion of the substantive
project or program for which you received this award and that you as the recipient award to an eligible
subrecipient.
ii. The term does not include your procurement of property and services needed to carry out the project or
program (for further explanation, see Sec. ---- .210 of the attachment to OMB Circular A-
133, ``Audits of States, Local Governments, and Non-Profit Organizations'').
iii. A subaward may be provided through any legal agreement, including an agreement that you or a
subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive during the
recipient's or subrecipient's preceding fiscal year and includes the following (for more information see
17 CFR 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial
statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non-equity incentive plans. This does not include group life, health,
hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are
available generally to all salaried employees.
iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension
plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination
payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive
exceeds $10,000.
2 CFR Subtitle A, Chapter I and Part 25
Appendix A to Part 25--Award Term
I. Central Contractor Registration and Universal Identifier Requirements
A. Requirement for Central Contractor Registration (CCR)
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the
currency of your information in the CCR until you submit the final financial report required under this award or
receive the final payment, whichever is later. This requires that you review and update the information at
least annually after the initial registration, and more frequently if required by changes in your information or
another award term.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may
receive a subaward from you unless the entity has provided its DUNS number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.
C. Definitions
For purposes of this award term:
1. Central Contractor Registration (CCR) means the Federal repository into which an entity must provide
information required for the conduct of business as a recipient. The CCR process has recently migrated to
the System for Award Management (SAM). Additional information about registration
procedures may be found at http://www.sam.gov.
2. Data Universal Numbering System (DUNS) number means the nine-digit number established and
assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be
obtained
from D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C:
a. A Governmental organization, which is a State, local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of any portion of the substantive
project or program for which you received this award and that you as the recipient award to an eligible
subrecipient.
b. The term does not include your procurement of property and services needed to carry out the project or
program (for further explanation, see Sec. ----.210 of the attachment to OMB Circular A-133, ``Audits of
States, Local Governments, and Non-Profit Organizations'').
c. A subaward may be provided through any legal agreement, including an agreement that you consider a
contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
What does federal law require today?
This guidance has been withdrawn. Ezel checks current federal labor law as it stands now and answers your situation with citations.
Opens in Ezel Pro.
- Checks the law as it stands today, not only this page
- Cites every source it relies on, so you can verify it
- Chat, drafting and research in one workspace