DWD 820.15(1)(b)
(b) Written and signed. Any subgrant shall be embodied in a written document signed by the grantee and the subgrantee.
DWD 820.15(1)(c)
(c) Compliance requirements. The grantee shall require its subgrantees to comply with the PPM.
DWD 820.15(1)(d)
(d) Monitoring and staff training. The grantee shall establish appropriate training and monitoring procedures for ensuring each subgrantee's compliance with the grant, PPM, this chapter and other applicable laws, rules and regulations.
DWD 820.15(1)(e)
(e) Modifications. The grantee shall develop procedures for modifying and terminating subgrants.
DWD 820.15(2)
(2) Grant funding changes: The department may unilaterally change the funding in the DWLAP or grant of a SSG or other department grantee as follows:
DWD 820.15(2)(a)
(a) Obligation of funds to SSGs. The department may unilaterally obligate the following funds to a SSG grant:
DWD 820.15(2)(a)2.
2. Funds reallotted from other states which are allocated to SSGs by formula and on the basis of need pursuant to
29 USC 1653.
DWD 820.15(2)(b)
(b) Deobligation of funds. The department may unilaterally deobligate funds from a SSG or any other department grantee if expenditures are not maintained pursuant to
s. DWD 820.10 (2) (a) 4. and
(b) 3. All funds in excess of the allowable 15% underexpenditure may be deobligated on a quarterly basis.
DWD 820.15(3)
(3) Dwlap unilateral change. The department shall notify the SSG of unilateral DWLAP obligations or deobligations in writing. Within 30 days of the notification date, the SSG shall submit a DWLAP unilateral change to the department pursuant to the PPM. The SSG shall comply with
sub. (5) concurrently with submittal. The department shall approve or otherwise act on the change within 30 days after the date submitted. The department may accept or refuse a unilateral change and shall notify the SSG accordingly.
DWD 820.15(4)
(4) Ssg-initiated dwlap change. Whenever actions initiated by the SSG result in an alteration of the DWLAP, the SSG shall request approval from the department to modify, update or change the DWLAP pursuant to the PPM. The department may designate the alteration. Only one SSG-initiated modification or update may be processed per program year quarter. The following are the requirements:
DWD 820.15(4)(a)
(a) Modification. A request for a modification shall be submitted to the department at least 30 days prior to the beginning of the month in which the revision is to be effective. The SSG shall comply with
sub. (5) at least 80 days prior to the proposed effective date of the modification. A DWLAP modification shall be required if a change results in one of the following:
DWD 820.15(4)(a)2.
2. A 30% or more difference in the planned enrollments or terminations.
DWD 820.15(4)(a)3.
3. A 30% or more difference in the planned enrollments by program activity.
DWD 820.15(4)(b)
(b) Update. A request for an update shall be submitted to the department at least 30 days prior to the beginning of the month in which the revision is to be effective. The SSG shall comply with the publication requirements in
sub. (5) concurrently with submittal. A DWLAP update shall be required if a change results in one of the following:
DWD 820.15(4)(b)2.
2. A difference of at least 15% in the planned enrollments or terminations.
DWD 820.15(4)(b)3.
3. A difference of at least 15% in planned enrollments by program activity.
DWD 820.15(4)(c)
(c) Change. A request for a change in the DWLAP which is less than an update shall be provided to the department at least 30 days prior to the date on which the change is to be effective. No change which is less than an update and consistent with this chapter may be subject to
sub. (5).
DWD 820.15(4)(d)
(d) Approval. The department shall approve or disapprove a request for a DWLAP modification, update or change pursuant to
29 USC 1661b (c) and the PPM and notify the SSG within 7 working days following the decision. The department may accept or refuse proposed alterations and shall notify the SSG accordingly.
DWD 820.15(5)
(5) Newspaper announcement. The SSG shall comply with
29 USC 1515 (a) and publish a newspaper announcement. The newspaper announcement shall include a notice of the change to the SSG's DWLAP, a brief summary of the nature and purpose of the proposed change, the location and hours when the complete change can be reviewed and the telephone number to which questions may be directed.
DWD 820.15(6)
(6) The official dwlap grant. The SSG DWLAP approved and maintained by the department, including all unilateral, update, modification or other changes shall be the official DWLAP. Only the official DWLAP shall be considered for purposes of audit, compliance or performance review activities.
DWD 820.15(7)
(7) Other department grant changes. Revisions to department grantee grants, other than DWLAPs, may be the result of unilateral deobligations or other modifications and shall be made pursuant to the PPM as follows:
DWD 820.15(7)(a)
(a) Unilateral change. The department shall notify the department grantee of unilateral deobligations in writing. Within 30 days of the notification date, the department grantee shall submit the unilateral change to the department. The department shall approve or otherwise act on the change within 30 days after the date submitted. The department may accept or refuse a change and shall notify the department grantee accordingly.
DWD 820.15(7)(b)
(b) Modification. The department grantee shall submit a modification request to the department prior to the effective date of the revisions. The department shall approve or otherwise act on the request within 30 days after the date submitted. The department may accept or refuse a request and shall notify the department grantee accordingly.
DWD 820.15(7)(c)
(c) The official department grant. The grant approved and maintained by the department, including all unilateral changes and other modifications shall be the official grant. Only the official grant shall be considered for purposes of audit, compliance or performance review activities.
DWD 820.15(8)
(8) Termination of funds or grants. The department grantee shall comply with the termination of funds or grants under this chapter as follows:
DWD 820.15(8)(a)
(a) Termination of funds to SSGs. A grant to a SSG may be terminated or suspended in whole or in part when the department determines one of the following:
DWD 820.15(8)(a)1.
1. It is necessary to protect the integrity of the grants or to ensure the legal operation of the program.
DWD 820.15(8)(a)2.
2. The SSG has inadequate financial management systems or failed to correct the deficiencies.
DWD 820.15(8)(a)3.
3. The SSG has violated the laws, rules or regulations governing the funds and corrective action has not been taken.
DWD 820.15(8)(a)4.
4. Funds under this chapter are not available or the direction of DOL or other fund sources requires it.
DWD 820.15(8)(b)
(b) Revocation and by-pass authority. The department may revoke or direct the expenditure of funds in the SSA as follows:
DWD 820.15(8)(b)1.
1. The department may revoke approval of all or part of the DWLAP pursuant to
29 USC 1574 (b) (1) which may include terminating or suspending financial assistance in whole or in part.
DWD 820.15(8)(b)2.
2. If the SSG fails to submit a DWLAP or submits a plan that is not approved, the department may direct the expenditure of funds in the SSA pursuant to
29 USC 1661b (c).
DWD 820.15(8)(b)3.
3. If the SSG fails to expend funds allocated pursuant to plan, the department may direct the expenditure of funds pursuant to the DWLAP and
29 USC 1661b (d).
DWD 820.15(8)(c)
(c) Termination of funds to other department grantees. A grant to a department grantee other than a SSG may be terminated or suspended in whole or in part when the department determines one of the following:
DWD 820.15(8)(c)2.
2. The department grantee or its subgrantee has violated the grant terms, PPM, or applicable laws, rules or regulations.
DWD 820.15(8)(c)3.
3. The quality of program administration falls below acceptable industry standards.
DWD 820.15(8)(c)4.
4. The department grantee is not in compliance with the grant goals and objectives and a modification request has not been submitted or approved.
DWD 820.15(8)(c)5.
5. The department grantee refuses to accept additional conditions imposed pursuant to its legal obligations.
DWD 820.15(8)(d)
(d) Notification. After a decision to terminate, the department shall provide the grantee with prompt written notice of the action to be taken, reasons and effective date. An option for a hearing within 30 days shall be provided and adverse decisions may be appealed pursuant to
s. DWD 820.16. If the termination is initiated by a grantee, the grantee shall notify the department at least 90 days prior to the intended date.
DWD 820.15(8)(e)
(e) Protection of funds. The department may take whatever action is necessary, including legal action, to ensure the proper operation of department programs and protect the integrity of the funds or reclaim misspent funds.
DWD 820.15 History
History: Cr.
Register, February, 1990, No. 410, eff. 3-1-90.
DWD 820.16
DWD 820.16
Complaints and appeals. This section contains the following procedures which the department, grantees, employees, applicants and participants shall use to resolve formal complaints which allege violations under this chapter and other applicable federal or state laws, rules and regulations:
DWD 820.16(1)
(1) General requirements. The department and grantee shall establish and maintain written complaint and appeal procedures pursuant to the PPM, this chapter and other applicable federal and state laws, rules and regulations as follows:
DWD 820.16(1)(a)
(a) Content. The procedures shall be described in training plans and funding applications pursuant to requirements and shall ensure the following:
DWD 820.16(1)(a)1.
1. Participants shall be made aware of their rights relating to complaints, appeals and hearings.
DWD 820.16(1)(a)3.
3. Any employer who hires a participant funded under this chapter shall maintain complaint and appeal procedures which include the employer's terms and conditions of employment pursuant to
20 CFR 629.53, including collective bargaining agreements.
DWD 820.16(1)(a)4.
4. The resolution of complaints shall provide the elements of due process, including notice of the specific allegations and responses; reasonable timing; an impartial decision-maker; the right to representation; the right to present evidence in writing and through witnesses; the right to question others who present evidence; and a decision made strictly on the recorded evidence.
DWD 820.16(1)(c)
(c) Complaint forms. The department shall provide the complaint information form to be used for filing formal complaints when the department is the respondent. Subject to compliance with this section, the grantee may modify the form for its own use.
DWD 820.16(1)(d)
(d) Technical assistance. Pursuant to the PPM, the department and grantee shall provide information to parties about complaint and appeal procedures; monitor the progress of cases; prepare applicable reports; assist appropriate enforcement agencies in the investigation and resolution of fraud and abuse allegations; and provide related technical assistance.
DWD 820.16(2)
(2) Filing a complaint. The respondent shall provide the complainant with the complaint filing procedures and applicable forms. The complainant may have a formal complaint notarized. The following shall apply to the filing and acceptance of a complaint:
DWD 820.16(2)(a)
(a) Filing date. The complaint shall be filed within one year after the alleged violation takes place.
DWD 820.16(2)(b)
(b) Acceptance. The respondent shall accept a complaint pursuant to the complainant's compliance with
par. (a) and submittal of a written complaint which is in sufficient detail to determine the following:
DWD 820.16(2)(b)1.
1. The full name, telephone number and address of the persons or organizations making the complaint.
DWD 820.16(2)(b)2.
2. The full name and address of the respondents against whom the complaint is made.
DWD 820.16(2)(b)3.
3. A clear and concise statement of the facts constituting the alleged violation, including pertinent dates.
DWD 820.16(2)(b)4.
4. The provisions of the laws, rules, regulations, PPM, grant and other agreements under this chapter believed to have been violated.
DWD 820.16(2)(b)5.
5. Whether the complaint has been cross-filed with any other jurisdiction and proceedings have commenced or been concluded, including dates, authorities and other pertinent information.
DWD 820.16(3)
(3) Complaints alleging discrimination. The following are the requirements for complaints alleging discrimination:
DWD 820.16(3)(a)
(a) Discrimination not based on handicap. Complaints alleging a violation of
29 USC 1577 relating to discrimination, except discrimination based on a handicap, shall be filed directly with DOL-DCR within 180 days after the alleged discrimination takes place.
DWD 820.16(3)(b)
(b) Discrimination based on handicap. Complaints alleging a violation of
29 USC 1577 relating to discrimination based on a handicapping condition shall exhaust local procedures before being filed with DOL-DCR. Complaints forwarded to DOL-DCR shall be filed within 180 days after the alleged discrimination takes place.
DWD 820.16(3)(c)
(c) Discrimination based on state fair employment statutes. Complaints alleging a violation of state laws, rules or regulations relating to discrimination shall be filed with the ERD within 300 days after the alleged discrimination takes place. Complaints filed with DOL-DCR may be filed at the same time with the ERD.
DWD 820.16(4)
(4) Complaints alleging noncriminal violations other than discrimination. Pursuant to
20 CFR 629.52, the following are the requirements for complaints alleging noncriminal violations other than discrimination:
DWD 820.16(4)(a)
(a) Grantee as respondent. When a grantee is the respondent to a complaint relating to the administration, implementation and operation of programs, the following shall apply:
DWD 820.16(4)(a)1.
1. The grantee shall review the complaint pursuant to
sub. (2) (b) and notify the complainant in writing of acceptance or the reason for rejection.
DWD 820.16(4)(a)2.
2. The grantee shall conduct a hearing within 30 calendar days of the acceptance date and issue a decision to the complainant within 60 calendar days of the acceptance date.
DWD 820.16(4)(a)3.
3. After receiving an adverse decision or no decision within 60 calendar days, the complainant may file an appeal requesting a review by the department on behalf of the governor. The appeal shall be filed with the department within 10 calendar days after the decision was received or due.
DWD 820.16(4)(a)4.
4. The department shall conduct the state review and the secretary shall issue a final decision within 30 calendar days after the appeal was filed.
DWD 820.16(4)(b)
(b) Department as respondent. When the department is the respondent to complaints and appeals relating to the administration, implementation and operation of programs, the following shall apply:
DWD 820.16(4)(b)1.
1. The division of employment and training policy shall review the complaint pursuant to
sub. (2) (b) and notify the complainant in writing of acceptance or the reason for rejection.
DWD 820.16(4)(b)2.
2. The division of employment and training policy shall appoint a hearing examiner and conduct a hearing within 30 calendar days of the acceptance date and issue a decision to the complainant within 60 calendar days of the acceptance date.
DWD 820.16(4)(b)3.
3. After receiving an adverse decision or no decision within 60 calendar days, the complainant may file an appeal requesting an independent state review. The appeal shall be filed with the department within 10 calendar days after the decision was received or due.
DWD 820.16(4)(b)4.
4. The secretary shall designate a review officer to conduct the independent state review. The review officer shall review the case and issue a recommended decision to the department within 30 calendar days after the appeal was filed.
DWD 820.16(4)(b)5.
5. The secretary shall issue a final decision within 30 calendar days after the appeal was filed. The secretary may accept, reject or modify the review officer's recommendation.
DWD 820.16(5)
(5) Complaints alleging incidents of fraud and abuse violations of jtpa. The following are the requirements for reporting alleged incidents of fraud and abuse:
DWD 820.16(5)(a)
(a) Notification of requirements. The SSG shall notify the LEO and PIC members, employees, subrecipients, all participants and the general public of the reporting requirements of incidents of fraud and abuse.
DWD 820.16(5)(b)
(b) Reporting incidents. An individual who becomes aware of any allegation or complaint about possible fraud, misfeasance, nonfeasance, or malfeasance, misapplication of funds, gross mismanagement, employee or participant misconduct involving program operations or any act which raises questions concerning possible unlawful activity shall immediately report the incident as follows:
DWD 820.16(5)(b)1.
1. Staff of department grantees shall file an incident report with the department. Staff of other grantees or members of the public shall file an incident report with the grantor or the department. Complainants may file an incident report directly with OIG if they feel their position may be compromised.
DWD 820.16(5)(b)2.
2. The identity of an individual who provides information may not be disclosed unless the individual consents or the OIG determines that disclosure is unavoidable during the course of an investigation.
