---
kind: "section"
citation: "20 C.F.R. § 683.410"
title: "20"
number: "683.410"
heading: "What are the oversight roles and responsibilities of recipients and subrecipients of Federal financial assistance awarded under title I of the Workforce Innovation and Opportunity Act and the Wagner-Peyser Act?"
url: "https://uscodex.org/cfr/20/683.410"
---

# §683.410. What are the oversight roles and responsibilities of recipients and subrecipients of Federal financial assistance awarded under title I of the Workforce Innovation and Opportunity Act and the Wagner-Peyser Act?

- (a) Each recipient and subrecipient of funds under title I of WIOA and under the Wagner-Peyser Act must conduct regular oversight and monitoring of its WIOA and Wagner-Peyser Act program(s) and those of its subrecipients and contractors as required under title I of WIOA and the Wagner-Peyser Act, as well as under [2 CFR part 200](/cfr/2/part200.md), including 2 CFR [200.327](/cfr/2/200.327.md), [200.328](/cfr/2/200.328.md), [200.330](/cfr/2/200.330.md), [200.331](/cfr/2/200.331.md), and Department exceptions at [2 CFR part 2900](/cfr/2/part2900.md), in order to:
  - (1) Determine that expenditures have been made against the proper cost categories and within the cost limitations specified in WIOA and the regulations in this part;
  - (2) Determine whether there is compliance with other provisions of WIOA and the WIOA regulations and other applicable laws and regulations;
  - (3) Assure compliance with [2 CFR part 200](/cfr/2/part200.md); and
  - (4) Determine compliance with the nondiscrimination, disability, and equal opportunity requirements of [sec. 188](/cfr/20/188.md) of WIOA, including the Assistive Technology Act of 1998 ([29 U.S.C. 3003](/usc/29/3003.md)).
- (b) **State roles and responsibilities for grants under secs.** 128 and 133 of WIOA:
  - (1) **The Governor is responsible for the development of the State monitoring system.** The Governor must be able to demonstrate, through a monitoring plan or otherwise, that the State monitoring system meets the requirements of [paragraph (b)(2)](#b-2) of this section.
  - (2) **The State monitoring system must—**
    - (i) Provide for annual on-site monitoring reviews of local areas' compliance with [2 CFR part 200](/cfr/2/part200.md), as required by [sec. 184(a)(3)](/cfr/20/184.md?p=a-3) of WIOA;
    - (ii) Ensure that established policies to achieve program performance and outcomes meet the objectives of WIOA and the WIOA regulations;
    - (iii) Enable the Governor to determine if subrecipients and contractors have demonstrated substantial compliance with WIOA and Wagner-Peyser Act requirements;
    - (iv) Enable the Governor to determine whether a local plan will be disapproved for failure to make acceptable progress in addressing deficiencies, as required in [sec. 108(e)](/cfr/20/108.md?p=e) of WIOA; and
    - (v) Enable the Governor to ensure compliance with the nondiscrimination, disability, and equal opportunity requirements of [sec. 188](/cfr/20/188.md) of WIOA, including the Assistive Technology Act of 1998 ([29 U.S.C. 3003](/usc/29/3003.md)).
  - (3) The State must conduct an annual on-site monitoring review of each local area's compliance with [2 CFR part 200](/cfr/2/part200.md), as required by [sec. 184(a)(4)](/cfr/20/184.md?p=a-4) of WIOA.
  - (4) The Governor must require that prompt corrective action be taken if any substantial violation of standards identified in paragraph [(b)(2)](#b-2) or [(3)](#b-3) of this section is found.
  - (5) The Governor must impose the sanctions provided in [secs. 184(b)-(c)](/cfr/20/184.md?p=b..c) of WIOA in the event of a subrecipient's failure to take required corrective action required under [paragraph (b)(4)](#b-4) of this section.
  - (6) The Governor may issue additional requirements and instructions to subrecipients on monitoring activities.
  - (7) The Governor must certify to the Secretary every 2 years that:
    - (i) The State has implemented [2 CFR part 200](/cfr/2/part200.md);
    - (ii) The State has monitored local areas to ensure compliance with [2 CFR part 200](/cfr/2/part200.md), including annual certifications and disclosures as outlined in [2 CFR 200.113](/cfr/2/200.113.md), Mandatory Disclosures. Failure to do so may result in remedies described under [2 CFR 200.338](/cfr/2/200.338.md), including suspension and debarment; and
    - (iii) **The State has taken appropriate corrective action to secure such compliance.**

## Notes

### Authority

Authority: Secs. 102, 116, 121, 127, 128, 132, 133, 147, 167, 169, 171, 181, 185, 186, 189, 195, 503, Public Law 113-128, 128 Stat. 1425 (Jul. 22, 2014).

### Source

Source: 81 FR 56410, Aug. 19, 2016, unless otherwise noted.