20 C.F.R. §§ 683.420–683.440

3 sections in range

§683.420. What procedures apply to the resolution of findings arising from audits, investigations, monitoring, and oversight reviews?

20 C.F.R. § 683.420

(a)

Resolution of subrecipient-level findings.

(1)

The Governor or direct grant recipient is responsible for resolving findings that arise from the monitoring reviews, investigations, other Federal monitoring reviews, and audits (including under 2 CFR part 200) of subrecipients awarded funds through title I of WIOA or the Wagner-Peyser Act.

(i)

A State or direct grant recipient must utilize the written monitoring and audit resolution, debt collection and appeal procedures that it uses for other Federal grant programs.

(ii)

If a State or direct grant recipient does not have such written procedures, it must prescribe standards and procedures to be used for this grant program.

(2)

For subrecipients awarded funds through a recipient of grant funds under subtitle D of title I of WIOA, the direct recipient of the grant funds must have written monitoring and resolution procedures in place that are consistent with 2 CFR part 200.

(b)

Resolution of State and other direct recipient-level findings.

(1)

The Secretary is responsible for resolving findings that arise from Federal audits, monitoring reviews, investigations, incident reports, and audits under 2 CFR part 200 for direct recipients of Federal awards under title I of WIOA and the Wagner-Peyser Act, as amended by WIOA title III.

(2)

The Secretary will use the Department audit resolution process, consistent with 2 CFR part 200 (and Department modifications at 2 CFR part 2900), and Grant Officer Resolution provisions of § 683.440, as appropriate.

(3)

A final determination issued by a Grant Officer under this process may be appealed to the Department of Labor Office of Administrative Law Judges under the procedures at § 683.800.

(c)

Resolution of nondiscrimination findings. Findings arising from investigations or reviews conducted under nondiscrimination laws will be resolved in accordance with WIOA sec. 188 of WIOA and the Department of Labor nondiscrimination regulations implementing sec. 188 of WIOA, codified at 29 CFR part 38.

Notes, amendments, and revision history

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.

§683.430. How does the Secretary resolve investigative and monitoring findings?

20 C.F.R. § 683.430

(a)

As a result of an investigation, on-site visit, other monitoring, or an audit (i.e., Single Audit, OIG Audit, GAO Audit, or other audit), the Secretary will notify the direct recipient of the Federal award of the findings of the investigation and give the direct recipient a period of time (not more than 60 days) to comment and to take appropriate corrective actions.

(1)

Adequate resolution. The Grant Officer in conjunction with the Federal project officer, reviews the complete file of the monitoring review, monitoring report, or final audit report and the recipient's response and actions under paragraph (a) of this section. The Grant Officer's review takes into account the sanction provisions of secs. 184(b)-(c) of WIOA. If the Grant Officer agrees with the recipient's handling of the situation, the Grant Officer so notifies the recipient. This notification constitutes final agency action.

(2)

Inadequate resolution. If the direct recipient's response and actions to resolve the findings are found to be inadequate, the Grant Officer will begin the Grant Officer resolution process under § 683.440.

(b)

Audits from 2 CFR part 200 will be resolved through the Grant Officer resolution process, as discussed in § 683.440.

Notes, amendments, and revision history

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.

§683.440. What is the Grant Officer resolution process?

20 C.F.R. § 683.440

(a)

General. When the Grant Officer is dissatisfied with the a recipient's disposition of an audit or other resolution of findings (including those arising out of site visits, incident reports or compliance reviews), or with the recipient's response to findings resulting from investigations or monitoring reports, the initial and final determination process as set forth in this section is used to resolve the matter.

(b)

Initial determination. The Grant Officer makes an initial determination on the findings for both those matters where there is agreement and those where there is disagreement with the recipient's resolution, including the allowability of questioned costs or activities. This initial determination is based upon the requirements of WIOA, the Wagner-Peyser Act, and applicable regulations, and the terms and conditions of the grants or other agreements under the award.

(c)

Informal resolution. Except in an emergency situation, when the Secretary invokes the authority described in sec. 184(e) of WIOA, the Grant Officer may not revoke a recipient's grant in whole or in part, nor institute corrective actions or sanctions, without first providing the recipient with an opportunity to present documentation or arguments to resolve informally those matters in dispute contained in the initial determination. The initial determination must provide for an informal resolution period of at least 60 days from issuance of the initial determination. If the matters are resolved informally, the Grant Officer must issue a final determination under paragraph (d) of this section which notifies the parties in writing of the nature of the resolution and may close the file.

(d)

Final determination.

(1)

Upon completion of the informal resolution process, the Grant Officer provides each party with a written final determination by certified mail, return receipt requested. For audits of recipient-level entities and other recipients which receive WIOA funds directly from the Department, ordinarily, the final determination is issued not later than 180 days from the date that the Office of Inspector General (OIG) issues the final approved audit report to the Employment and Training Administration. For audits of subrecipients conducted by the OIG, ordinarily the final determination is issued not later than 360 days from the date the OIG issues the final approved audit report to ETA.

(2)

A final determination under this paragraph (d) must—

(i)

Indicate whether efforts to resolve informally matters contained in the initial determination have been unsuccessful;

(ii)

List those matters upon which the parties continue to disagree;

(iii)

List any modifications to the factual findings and conclusions set forth in the initial determination and the rationale for such modifications;

(iv)

Establish a debt, if appropriate;

(v)

Require corrective action, when needed;

(vi)

Determine liability, method of restitution of funds, and sanctions; and

(vii)

Offer an opportunity for a hearing in accordance with § 683.800.

(3)

Unless a hearing is requested, a final determination under this paragraph (d) is final agency action and is not subject to further review.

Notes, amendments, and revision history

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.

20 C.F.R. §§ 683.420–683.440

§683.420. What procedures apply to the resolution of findings arising from audits, investigations, monitoring, and oversight reviews?

Authority

Source

§683.430. How does the Secretary resolve investigative and monitoring findings?

Authority

Source

§683.440. What is the Grant Officer resolution process?

Authority

Source

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