(c) Inducement or threats.
Induces another person to give up money or something of value to a person or grantee by threat of dismissal or refusal to renew a grant.
Willfully obstructs or impedes or attempts to obstruct or impede an investigation or inquiry into activities funded under this chapter alleged to be criminal or a violation of this chapter, the PPM and applicable laws, rules and regulations.
(e) Special consideration.
Directly or indirectly promises any employment, position, compensation, contract, appointment or other benefit involving funds under this chapter as special consideration, favor or reward for any political activity.
Coerces another individual into making a political contribution by denying or threatening to deny employment or benefits under a grant.
(17) Fraud and abuse.
The grantee shall prevent fraud and abuse as follows:
The grantee shall establish and use internal program and fiscal management procedures sufficient to prevent program fraud and abuse.
The grantee shall ensure that sufficient, auditable and otherwise adequate records and documentation are maintained which support the expenditure of all funds under this chapter. The records shall be sufficient to allow the department, the state of Wisconsin or the federal government to audit and monitor the programs.
The grantee shall establish monitoring procedures to periodically review through on-site visits and program data, all program activities, services and administration practices to ensure grant compliance with the PPM, this chapter and other applicable laws, rules and regulations.
(d) Allegations or complaints.
A grantee who becomes aware of any allegation or complaint about possible fraud, misfeasance, nonfeasance, or malfeasance, misapplication of funds, gross mismanagement and employee or participant misconduct involving programs or operations funded under this chapter shall immediately report the incident pursuant to s. DWD 820.16
, including any act which raises questions concerning possible unlawful activity.
(18) Public service employment.
Pursuant to 29 USC 1661c
(d) (2), no funds under this chapter may be used for public service employment.
(19) Debarment or suspension.
The grantee shall comply with 29 CFR 98.510
and DOL requirements when making or applying for nonmandatory awards of JTPA funds. Applicants for any nonmandatory federal funding shall submit certification relating to debarment and suspension with their application.
(20) Insurance and bonding coverage.
The grantee shall have adequate general liability insurance and bonding coverage as follows:
(a) General liability insurance.
Neither DOL, the state of Wisconsin nor the department may assume any liability with respect to bodily injury, illness or any other damages or losses or with respect to any claims arising out of any activities undertaken under a grant, whether concerning persons or property in the grantee's organization or third parties. The grantee shall be insured pursuant to activities under the grant.
The grantee shall provide fidelity bonding coverage for every officer, director, agent or employee authorized to receive or deposit funds under this chapter into program accounts or issue financial documents, checks or other instruments of payment for grant costs. The amount of bonding shall be either $100,000 or the highest monthly expenditure planned for the present grant year, whichever is lower. The grantee shall immediately notify the department if the bond is cancelled or reduced.
(c) Injuries covered by worker compensation.
To the extent that Wisconsin's worker compensation law is applicable, worker compensation benefits pursuant to the law shall be available with respect to injuries suffered by participants.
(d) Injuries not covered by worker compensation.
The grantee shall secure insurance coverage for injuries suffered by participants who are not covered by existing worker compensation. Contributions to a reserve for a self-insurance program are allowable to the extent that the type and extent of coverage, rates and premiums would have been allowed had insurance been purchased to cover the risks.
(21) Grantee liability.
The grantee shall be liable for claims as follows:
(a) Hold harmless.
The grantee shall hold the department, the state of Wisconsin and the federal government harmless against any claims, except claims between the grantee and a state agency subrecipient and claims between the department and other Wisconsin state agencies.
(b) Disallowed costs.
The grantee shall assume liability for any costs disallowed by the department or DOL because of violations of a grant, the PPM, this chapter or other applicable state or federal laws, rules and regulations. The department may withhold payment of the grantee's costs under current or subsequent active grants for violations. Unless waived by the governor, one of the following shall apply when a SSA selects a private nonprofit or for-profit organization as the SSG:
The organization shall have sufficient nonfederal assets to cover potential liabilities for costs.
(22) Relocation of establishments or participants.
The grantee shall comply with the use of funds under this chapter for relocation as follows:
Funds may not be used for relocating establishments or parts of establishments if the relocation results in an increase of unemployment in the area of the original location or in any other area.
Funds may not be used for relocation assistance to participants unless the grantee has documentation that the individual cannot obtain employment within his or her commuting area and has secured suitable long duration employment or a bona fide job offer in the relocation area.
(23) Public notice and open meetings.
The grantee shall comply with state laws, rules and regulations relating to public notice and open meetings pursuant to ss. 19.81
, Stats. as follows:
(a) Open meetings.
All meetings of the SSGs, PICs or consortia of LEOs, including meetings of their committees or subcommittees, shall be open meetings that are given appropriate public notice of at least 24 hours before the meeting is to begin.
(b) Closed sessions.
All closed sessions shall require advance notice and be convened first as open meetings. Moving to a closed session shall require a majority vote of the quorum present at the beginning of the meeting with individual votes recorded in the minutes of the meeting. Closed sessions of the SSG, PIC and LEO may be held only under conditions allowed in ss. 19.81
(c) Meetings relating to expenditures.
All SSG, PIC and LEO meetings relating to discussion, deliberation, recommendations or decisions about the expenditure of funds shall be held in open session with public access.
(24) Procurement standards.
Except for par. (b)
, these standards may not be applied to a grantee who selects itself as a service provider. No procurement may be considered to take place when a grantee selects itself as a service provider, and no competition may be required. The grantee shall comply with 20 CFR 629.34
and the following standards when procuring property, supplies, equipment, consultants, professional and other services, including the program-specific services of service providers:
(a) Procurement procedures.
The grantee shall establish written procurement procedures which to the maximum extent practical provide for the following:
Consideration of both price and the contractor's potential ability to meet specifications.
Review of each grantee's or contractor's compliance with the terms of the grant or contract.
(b) Selection of service providers.
When selecting service providers, including when selecting itself as a service provider, the grantee shall comply with 29 USC 1661
. and 20 CFR 631.52
(d) and provide the criteria and documentation used to determine the following:
Performance goals, quantity of training, costs and the characteristics of participants.
Past performance in delivering job training or related activities, fiscal accountability and ability to meet performance standards. In complying with this subdivision, proper consideration shall be given to community based organizations as service providers.
Whether alternative service providers or facilities to those already provided by federal, state or local entities selected to provide services would be more effective and more likely to achieve the SSA's performance goals.
Whether agencies or organizations other than educational agencies or organizations selected to provide educational services would be more effective or have greater potential to enhance the participant's continued occupational and career growth.
The process used to inform the public of the procedures used to select service providers, including public hearings and appeal procedures available to the public and other agencies not selected.
(c) Cost or pricing data.
This paragraph may not be applied where the department has determined that the price is based on adequate price competition, established catalog or market prices or is set by law, rule or regulation. The following shall apply only where cost or pricing data is required:
The grantor shall require subgrantees and contractors to certify that to the best of their knowledge and belief, the cost or pricing data was accurate, complete and current as of submittal and shall be submitted prior to the date of pricing any contract, change order or modification.
Records pertinent to the cost or pricing data of any contract, grant or modification shall be maintained by the grantee for three years from the date of final payment and may be audited.
(d) Code of standards.
Each grantee shall maintain a written code of standards to govern the performance of its officers, employees or agents in contracting or otherwise procuring supplies, equipment or services with funds under this chapter. These standards shall conform to state laws, rules and regulations applicable to public contracts and provide the following:
Forbid the solicitation or acceptance of gratuities, favors or anything of monetary value from contractors, grantees or potential contractors or grantees.
(e) Noncompetitive negotiation.
Procurement through solicitation of a proposal from only one source may be used only if one of the following conditions exist:
Competition is determined inadequate after solicitation of a number of sources.
Time is essential and only one known source can meet the need within the specified time frame.
It is necessary that the needed items are manufactured by a certain source in order to be compatible and interchangeable with existing equipment.
(f) Commercial training packages.
Commercially available training packages may be purchased at off-the-shelf prices and without requiring a breakdown of the cost components of the package only if the packages are purchased competitively and include performance criteria.
(25) Property management standards.
Personal or real property under this chapter shall be used for purposes authorized and maintained in good condition and safeguarded against loss, theft or damage. The following shall apply to property purchased with funds under this chapter, transferred from programs under CETA or acquired from the federal government:
(a) Property control.
Units of government, Indian tribes and tax-exempt nonprofit organizations may be eligible to acquire federal surplus property. The grantee shall comply with property acquisition, title and records as follows:
Prior written authorization shall be obtained from the department before the purchase or lease-purchase of nonexpendable personal property with a unit acquisition cost of $1,000 or more.
The grantee may assume ownership of expendable and nonexpendable property, except that the department shall retain reversionary rights to nonexpendable property with a unit acquisition cost of $1000 or more and the copyrighting of any material shall require the prior written approval of the department.
The grantee shall establish procedures to adequately safeguard all property. Pursuant to the PPM, the grantee shall maintain a detailed register of all nonexpendable property, and no less than annually, conduct a physical inventory and reconcile the property records to the general ledger.
(b) Property disposition.
Property disposition may occur when the grantee discontinues program operation, has no further use for it or intends to use it for another purpose, wants to trade it in or recover usable parts or determines it is unusable. The grantee shall comply with the following when disposing of nonexpendable property:
The property records shall be up to date and fully document the disposition pursuant to the PPM.
The sale of property and equipment shall be the action of last resort. Pursuant to the PPM, the grantee shall first attempt to transfer the property to another grantee.
Written authorization from the department shall be required prior to the disposition of nonexpendable personal property with a unit acquisition cost of $1,000 or more, including property partially purchased by funds under this chapter.
Funds received from the sale of property, regardless of the acquisition source and unit cost, shall be program income and subject to s. DWD 820.13 (4)
. The amount of compensation to the department for property purchased partially with department funds shall be computed by applying the percentage of participation in the original cost to the current fair market value.
(26) Access, retention and custodial requirements for records.
The grantee shall maintain and provide access, retention and custody of records under this chapter as follows:
(a) Access to records.
The grantee shall provide access to records as follows:
Records shall be maintained as necessary for the department to ensure that funds are being expended pursuant to the grant and to determine the extent to which the program is in compliance with the DWLAP, state plan, PPM, this chapter and other applicable laws, rules and regulations.
The DOL, state of Wisconsin and department, through any authorized representative, shall have the access and right to examine all records, books, papers or documents related to grants, including those of subgrantees and contractors.
Cooperation shall be provided in all monitoring, auditing and evaluation activities, including unannounced monitoring visits conducted by the department or DOL.
Participant records shall be retained and made available to the public pursuant to applicable laws, rules and regulations relating to open records and freedom of information.
(b) Retention of records.
The grantee shall retain program records as follows:
All records pertinent to each participant's enrollment in programs funded under this chapter, including dates of entry and termination and related eligibility and enrollment reports, until 3 years after the last day of the participant's enrollment in the program plus additional time beyond 3 years until applicable litigation, audit findings or other claims have been resolved.
All records pertinent to each grant, including financial and statistical records and supporting documents, until 3 years after the date of submission of the applicable annual report or final expenditure report, plus additional time beyond 3 years until applicable litigation, audit findings or other claims have been resolved. Records for cost or pricing data shall be retained pursuant to sub. (24) (c)
All records pertinent to complaints, appeals and resolutions until 3 years after the day the complaint is closed following final settlement of the case or beyond 3 years until applicable litigation, audit findings or other claims have been resolved.
All records of nonexpendable personal property acquired under this chapter until 3 years after disposition of the property plus additional time beyond 3 years until applicable litigation, audit findings or other claims have been resolved.
All records pertinent to each applicant who is determined ineligible during the EDS EDF process or refused certification, including the reason and other supporting applicant records, for one year after the date of determination or refusal.
(c) Custody of records.
The department may request transfer of certain records to its custody from recipient organizations if the organization is no longer able to maintain custody of those records. The grantee shall provide the department with 30 days advance notice if it intends to discontinue maintenance of its records before the end of the mandatory retention periods in par. (b)
(27) Source acknowledgment.
The grantee shall acknowledge the funding source on any book, pamphlet, film or other publication produced with funds under this chapter. If the material contains editorial comment, it shall also include a disclaimer by the department. Acknowledgements and disclaimers shall be shown in a prominent place and written pursuant to the PPM.
DWD 820.11 History
Cr. Register, February, 1990, No. 410
, eff. 3-1-90.
This section contains the principles of cost determination for all grants awarded under this chapter. Unless restricted or prohibited by law, the department shall bear its fair share of the costs. Each department grantee may be required to designate an official to serve as the agency representative on matters related to this section. All department grantees shall ensure that they and their subgrantees or contractors shall comply with the following terms:
(1) General principles affecting allowability of costs.
To be allowable, grantee costs shall meet all of the following general criteria:
(a) Necessary and reasonable.
Be necessary and reasonable for proper and efficient administration of the program and be allocable to a cost objective.
(b) Authorized or not prohibited.
Be authorized or not prohibited under federal, state or local laws, rules or regulations.
(c) Limitations or exclusions.
Conform to any limitations or exclusions under this chapter or other governing limitations.
(d) Uniform policies.
Be consistent with policies and procedures that apply uniformly to other activities of the agency of which the grantee is a part.