---
kind: "section"
citation: "20 C.F.R. § 683.420"
title: "20"
number: "683.420"
heading: "What procedures apply to the resolution of findings arising from audits, investigations, monitoring, and oversight reviews?"
url: "https://uscodex.org/cfr/20/683.420"
---

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

- (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](/cfr/2/part200.md)) 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](/cfr/2/part200.md).
- (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](/cfr/2/part200.md) 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](/cfr/2/part200.md) (and Department modifications at [2 CFR part 2900](/cfr/2/part2900.md)), and Grant Officer Resolution provisions of [§ 683.440](/cfr/20/683.440.md), 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](/cfr/20/683.800.md).
- (c) **Resolution of nondiscrimination findings.** Findings arising from investigations or reviews conducted under nondiscrimination laws will be resolved in accordance with WIOA [sec. 188](/cfr/20/188.md) of WIOA and the Department of Labor nondiscrimination regulations implementing [sec. 188](/cfr/20/188.md) of WIOA, codified at [29 CFR part 38](/cfr/29/part38.md).

## 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.