DWD 820.10 History
History: Cr.
Register, February, 1990, No. 410, eff. 3-1-90; corrections in (1) (intro.), (b), (2) (intro.) and (b) (intro.), made under s.
13.92 (4) (b) 7., Stats.,
Register November 2008 No. 635.
DWD 820.11
DWD 820.11
Assurances and certifications. This section contains the assurances and certifications for all grants awarded under this chapter. All department grantees shall ensure that they and their subgrantees or contractors comply with the following terms:
DWD 820.11(1)
(1) Signatory authority. The grantee shall possess the following legal authority to participate in a grant under this chapter:
DWD 820.11(1)(a)
(a) Signatory official. The grantee shall ensure that the designated signatory official holds the legal authority to accept funds.
DWD 820.11(1)(b)
(b) Grantee authority. A resolution, motion or similar action shall be duly adopted or passed as an official act of the grantee's governing body authorizing participation in the grant and directing the grantee's official representative to act in connection with the grant and provide additional information as required.
DWD 820.11(2)
(2) Compliance statement. The grantee shall comply with the state plan, DWLAP, this chapter and all applicable laws, rules, regulations and PPMs relating to programs funded under this chapter.
DWD 820.11(3)
(3) Nondiscrimination and equal opportunity. The grantee may not discriminate and shall follow equal employment opportunity practices in the administration and delivery of program services and benefits to eligible applicants and participants as follows:
DWD 820.11(3)(a)
(a) Applicable laws and other requirements. The grantee shall comply with the PPM, this chapter and all applicable laws, rules and regulations relating to nondiscrimination and equal opportunity, including the civil rights act,
42 USC 1971 et seq.; rehabilitation act,
42 USC 6001 et seq.; age discrimination act,
42 USC 6101 et seq.; U.S. executive order 11375; and Wisconsin fair employment act, ss.
111.31 to
111.395, Stats. These requirements shall include but not be limited to the following:
DWD 820.11(3)(a)1.
1. No participant, staff person or administrator may be discriminated against, denied benefits, denied employment or excluded from participation in connection with any program funded under this chapter on the basis of race, color, religion, sex, national origin or ethnic status, age, handicap, marital status, offender status, sexual orientation, political affiliation or belief, arrest or conviction record or refusal to submit to sexual contact or sexual intercourse.
DWD 820.11(3)(a)2.
2. Participation in programs funded under this chapter shall be open to citizens and nationals of the U.S., lawfully admitted permanent resident aliens, refugees, parolees and other individuals authorized by the U.S. attorney general to work in the U.S.
DWD 820.11(3)(a)3.
3. The grantee shall make appropriate efforts to overcome sex stereotyping, including the encouragement of nontraditional employment for staff and participants funded under this chapter.
DWD 820.11(3)(a)4.
4. The grantee shall ensure that reasonable accommodations are made to the known physical or mental limitations of an otherwise eligible applicant, employee or participant unless it can be demonstrated that the accommodations would impose an undue hardship on the operation of the program.
DWD 820.11(3)(a)5.
5. Equitable services shall be provided to mandated groups in proportion to their incidence in the eligible population. These groups shall be mandated by the act and the governor's objectives and coordination criteria and include women, minorities, handicapped, older individuals, high school dropouts and AFDC-WEOP eligible registrants. This does not preclude services to nonmandated groups.
DWD 820.11(3)(a)6.
6. The grantee shall target employment and training services to those who can benefit from and who are most in need under the program's plan of services and enrollment priorities. Records shall be maintained by the grantee and made available to the department to determine the extent of service to those individuals. Equitable provision of services in enrollment and placement to the program's target groups shall provide substantial indication of service to the most in need but may not constitute the sole source of the determination if complaints arise.
DWD 820.11(3)(b)
(b) Notification. The grantor shall notify each grantee of the terms of nondiscrimination and equal opportunity, including the potential consequences for noncompliance. The grantee shall agree to abide by the terms as a condition of receiving funds.
DWD 820.11(3)(c)
(c) Corrective action and sanctions for noncompliance. The grantor shall attempt to resolve nondiscrimination and equal opportunity violations as follows:
DWD 820.11(3)(c)1.
1. The grantor shall notify the alleged violator of violations in writing and require a corrective action plan that establishes the measures to be taken and time frames for resolution; the sanctions to be invoked for refusal to submit or adhere to the plan or for continued violations after corrective action is required; and the appeal and hearing rights pursuant to
s. DWD 820.16.
DWD 820.11(3)(c)2.
2. The severity of the sanctions shall reflect the severity of the violation and may result in terminating funds and imposing sanctions pursuant to
s. DWD 820.15 (8) and
29 USC 1574 (e) (2) (A-D). Other sanctions may result from appropriate civil rights or law enforcement agencies or applicable by laws, rules or regulations.
DWD 820.11(3)(d)
(d) Compliance reviews. Pursuant to
s. DWD 820.13 (10), the grantor shall conduct monitoring reviews of each subgrantee to determine compliance with nondiscrimination and equal opportunity. The grantor shall monitor the specified results and time frames of any corrective action plan.
DWD 820.11(4)
(4) Adequate and documented systems. The grantee shall have adequate and documented administrative, personnel, financial and program management systems, including the policies, procedures and controls necessary to ensure effective and efficient use of funds for the delivery of programs under this chapter.
DWD 820.11(5)
(5) Conflict of interest. The grantee and its personnel shall avoid organizational and personal conflict of interest and the appearance of conflict of interest as follows:
DWD 820.11(5)(a)
(a) Casting of votes. Pursuant to
29 USC 1551 (f), no member of any council, board or committee, nor the LEO shall cast a vote on the provision of services by that member or any organization which that member directly represents, or vote on any matter which would provide direct financial benefit to that member.
DWD 820.11(5)(b)
(b) Use of position. The grantee shall prohibit its employees from using their positions for a purpose that is or that gives the appearance of being motivated by a desire for private gain for themselves or those with whom they have family, business or other ties.
DWD 820.11(5)(c)
(c) Competition for funds. No grantee who develops the specifications or evaluates or recommends the bids or proposals for a particular procurement may be eligible to compete for the grant or contract.
DWD 820.11(5)(d)
(d) Code of standards. The grantee shall maintain a written code of standards pursuant to
sub. (24) (d).
DWD 820.11(6)
(6) Kickbacks. No officer, employee or agent of the grantee shall solicit or accept gratuities, favors or anything of monetary value from any person in return for preferential treatment.
DWD 820.11(7)
(7) Commingling of funds. The grantee shall maintain accounting records which adequately identify separate deposits and expenditures for each grant.
DWD 820.11(8)
(8) Charging of fees. The grantee shall ensure that no individual is charged a fee for being referred to training or placed in employment funded under this chapter.
DWD 820.11(9)
(9) Nepotism. The grantee shall prohibit nepotism as follows:
DWD 820.11(9)(a)
(a) Hires, promotions and salaries. No council member, LEO or employee of the grantee shall effectively recommend or decide to hire, promote or establish the salary of another person when the person affected is a member of his or her immediate family.
DWD 820.11(9)(b)
(b) Supervision and management. No council member, LEO or employee of the grantee shall give preferential treatment in the supervision or management of another employee who is a member of his or her immediate family.
DWD 820.11(10)
(10) Child labor. The grantee shall comply with applicable federal and state child labor laws, rules and regulations.
DWD 820.11(11)
(11) Political patronage. The grantee shall prohibit political patronage as follows:
DWD 820.11(11)(a)
(a) Rewards. The grantee may not select, reject or promote a participant or staff person based on the individual's political affiliation or beliefs or as a reward for political services or as a form of political patronage.
DWD 820.11(11)(b)
(b) Referrals. The grantee may not refer participants to programs under this chapter nor select subgrantees based on political patronage or affiliation.
DWD 820.11(12)
(12) Political activities. Funds under this chapter may not involve partisan or nonpartisan political activities as follows:
DWD 820.11(12)(a)
(a) Hours. No participant may engage in partisan or nonpartisan political activities during hours for which the participant is paid with funds under this chapter.
DWD 820.11(12)(b)
(b) Representation. No participant may engage in partisan or nonpartisan political activities in which she or he represents herself or himself as a spokesperson for a program funded under this chapter.
DWD 820.11(12)(c)
(c) Location of employment or outstation. No participant may be employed or outstationed in the following:
DWD 820.11(12)(c)1.
1. The office of a member of congress or a state or local legislator or on any staff of a legislative committee.
DWD 820.11(12)(c)2.
2. The immediate offices of any chief elected executive official of a state or a unit of general local government, unless it is clearly documented that the position is entirely nonpolitical.
DWD 820.11(12)(c)3.
3. A position involving political activities in the offices of other elected executive officials. Nonpolitical positions shall be permissible only with documentation of the nonpolitical nature of the position.
DWD 820.11(12)(d)
(d) Hatch Act. Individuals whose employment is funded under this chapter shall comply with the hatch act,
5 USC 1502, whether the individual works for the state, a county, PIC, SSG, nonprofit or nongovernmental organization.
DWD 820.11(13)
(13) Sectarian activities. Funds under this chapter may not be used to support religious or anti-religious activities.
DWD 820.11(14)
(14) Union activities. Funds under this chapter may not be used to promote or oppose unionization. The grantee shall comply with union activities as follows:
DWD 820.11(14)(a)
(a) Membership. No individual shall be required to join a union as a condition for enrollment in training institutions unless the training involves individuals employed under a collective bargaining agreement containing union security provisions.
DWD 820.11(14)(b)
(b) Dues or services fees. Employers may deduct union dues or service fees for participants pursuant to applicable collective bargaining agreements or state laws, rules and regulations.
DWD 820.11(14)(c)
(c) Consultation with labor organizations. The grantee may provide services to a substantial number of members of a labor organization only after full consultation with the labor organization involved. The grantee shall give a labor organization which represents a substantial number of employees who are engaged in work or training an opportunity to comment on training which is proposed.
DWD 820.11(14)(d)
(d) Labor disputes and contracts. The grantee shall comply with labor disputes and contracts as follows:
DWD 820.11(14)(d)1.
1. A participant may not be placed in or remain working in any position affected by a labor dispute involving a work stoppage or strike.
DWD 820.11(14)(d)2.
2. A program funded under this chapter may not impair existing contracts for services or collective bargaining agreements. Any program which would be inconsistent with the terms of a collective bargaining agreement may only be undertaken with the written concurrence of the labor organization and employer concerned.
DWD 820.11(15)
(15) Maintenance of effort. The grantee shall prevent maintenance of effort as follows:
DWD 820.11(15)(a)
(a) Displacements. Programs funded under this chapter shall result in an increase in employment and training opportunities over those which would otherwise be available in the area and prohibit displacement as follows:
DWD 820.11(15)(a)1.
1. Currently employed workers may not be totally or partially displaced, nor their hours of regular work time, wages or employment benefits reduced.
DWD 820.11(15)(a)2.
2. Existing contracts or grants for services may not be impaired, nor federal funds substituted to pay for services that would have been funded by other sources.
DWD 820.11(15)(b)
(b) Supplanting funds. Funds under this chapter shall be used to supplement and not supplant funds that would otherwise be available from nonfederal sources for planning and administering programs.
DWD 820.11(15)(c)
(c) Hiring freezes. A participant may not be hired into or remain working in any position when the same or a substantially equivalent position is vacant due to a hiring freeze.
DWD 820.11(15)(d)
(d) Layoffs and recalls. A participant may not be hired into or remain working in any position when any person who is not funded under this chapter is one of the following:
DWD 820.11(15)(d)1.
1. On layoff from the same or a substantially equivalent job in the same organizational unit of the same employer.
DWD 820.11(15)(d)2.
2. On layoff or has been bumped and has recall or bumping rights to that position pursuant to a personnel code, practice or collective bargaining agreement of the same employer.
DWD 820.11(15)(d)3.
3. For purposes of this paragraph, a layoff is in effect until the expiration of the period required by a recall list, or if no recall list or reemployment rights exist, for a period of one year from the last layoff or until the next operating year of the department or agency, whichever occurs later.
DWD 820.11(15)(e)
(e) Promotions. No job shall be created in a promotional line to infringe in any way upon the promotional opportunities of currently employed individuals.
DWD 820.11(16)
(16) Criminal provisions. The grantor shall initiate action to prosecute to the full extent of the law any officer, director, agent or employee of any agency funded under this chapter who commits any of the following acts:
DWD 820.11(16)(a)
(a) Ineligible enrollments. Knowingly hires or enrolls an ineligible individual.
DWD 820.11(16)(b)
(b) Misapplication or theft. Embezzles, willfully misapplies, steals or obtains by fraud any money, funds, assets or property which is the subject of a grant.
DWD 820.11(16)(c)
(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.
DWD 820.11(16)(d)
(d) Obstruction. 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.
DWD 820.11(16)(e)
(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.
DWD 820.11(16)(f)
(f) Coercion. Coerces another individual into making a political contribution by denying or threatening to deny employment or benefits under a grant.
DWD 820.11(17)
(17) Fraud and abuse. The grantee shall prevent fraud and abuse as follows:
DWD 820.11(17)(a)
(a) Management. The grantee shall establish and use internal program and fiscal management procedures sufficient to prevent program fraud and abuse.
DWD 820.11(17)(b)
(b) Records. 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.
DWD 820.11(17)(c)
(c) Monitoring. 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.
DWD 820.11(17)(d)
(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.
DWD 820.11(18)
(18) Public service employment. Pursuant to
29 USC 1661c (d) (2), no funds under this chapter may be used for public service employment.
DWD 820.11(19)
(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.
DWD 820.11(20)
(20) Insurance and bonding coverage. The grantee shall have adequate general liability insurance and bonding coverage as follows:
DWD 820.11(20)(a)
(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.
DWD 820.11(20)(b)
(b) Bonding. 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.
DWD 820.11(20)(c)
(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.
DWD 820.11(20)(d)
(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.
DWD 820.11(21)
(21) Grantee liability. The grantee shall be liable for claims as follows:
DWD 820.11(21)(a)
(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.
DWD 820.11(21)(b)
(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:
DWD 820.11(21)(b)2.
2. The organization shall have sufficient nonfederal assets to cover potential liabilities for costs.
DWD 820.11(22)
(22) Relocation of establishments or participants. The grantee shall comply with the use of funds under this chapter for relocation as follows:
DWD 820.11(22)(a)
(a) Establishments. 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.
DWD 820.11(22)(b)
(b) Participants. 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.
