DWD 830.07 History
History: Cr.
Register, May, 1989, No. 401, eff. 6-1-89.
DWD 830.08
DWD 830.08
Administrative requirements. The following requirements apply to all WisJOBS grantees:
DWD 830.08(1)
(1) Access, retention and custodial requirements for records. The grantee shall comply with the following requirements for the access, retention and custody of records:
DWD 830.08(1)(a)
(a) Access to records. The grantee shall maintain and provide access to WisJOBS records and cooperate with monitoring, auditing and evaluation activities described as follows:
DWD 830.08(1)(a)1.
1. The grantee shall maintain records and provide access to them as necessary for the DETP to assure that funds are being expended in accordance with the purposes and provisions of the WisJOBS PPM, and to assist the DETP in determining the extent to which the program meets the requirements of the PPM, this chapter and s.
106.20, Stats.
DWD 830.08(1)(a)2.
2. The grantee shall give the state of Wisconsin and the DETP, through any authorized representative, the access to and the right to examine all records, books, papers, or documents related to its WisJOBS grant and contracts.
DWD 830.08(1)(a)3.
3. The grantee shall cooperate with monitoring, auditing and evaluation activities regarding its WisJOBS program, including unannounced monitoring visits conducted by the DETP.
DWD 830.08(1)(a)4.
4. The grantee shall retain and make records available to the public in accordance with applicable laws governing open records and freedom of information.
DWD 830.08(1)(b)
(b) Retention of records. The grantee shall retain the following records for three years beyond resolution of any applicable litigation, audit findings, or claims:
DWD 830.08(1)(b)1.
1. All records pertinent to each client's enrollment in the WisJOBS program, including wage information, dates of entry and termination, and documentation of eligibility.
DWD 830.08(1)(b)2.
2. All records pertinent to its WisJOBS grant agreement, including financial and statistical records and supporting documents.
DWD 830.08(1)(c)
(c) Custody of records. The grantee shall provide custody of WisJOBS records. The grantee's custodial requirements may be discontinued in accordance with the following:
DWD 830.08(1)(c)1.
1. The DETP may request transfer of certain records to its custody from the grantee if the grantee is no longer able to maintain custody of those records.
DWD 830.08(1)(c)2.
2. The grantee shall provide the DETP with 30 days advance notice if it intends to discontinue maintenance of its records before the end of the mandatory retention periods indicated above.
DWD 830.08(2)
(2) Standards for financial management systems. The grantee assures it shall comply with the following standards for financial management systems:
DWD 830.08(2)(a)
(a) Written procedures. The grantee shall establish written procedures documenting its financial management system.
DWD 830.08(2)(b)
(b) Financial management systems. The grantee's financial management systems shall provide for the following:
DWD 830.08(2)(b)1.
1. Effective internal controls to adequately safeguard assets from waste, fraud and abuse and from unauthorized purposes and inefficient use; promote accuracy and reliability in the accounting records; and encourage and measure compliance with this document, state and local laws and regulations, where applicable.
DWD 830.08(2)(b)2.
2. Accounting records that adequately identify the source and application of DETP funds and are properly supported by source documentation. These records shall contain information pertaining to DETP grant awards, authorizations, revenues, expenditures, assets, obligations, and unobligated balances.
DWD 830.08(2)(b)3.
3. Determining the reasonableness, allowability and allocability of expenses in accordance with the provisions for cost determination in this chapter and the terms of the grant or other agreement.
DWD 830.08(2)(b)4.
4. Accurate, current and complete disclosure of the financial results of each grant in accordance with the DETP reporting requirements identified in the PPM.
DWD 830.08(2)(b)6.
6. Development of financial information that relates to performance and unit cost data.
DWD 830.08(2)(b)7.
7. Procedures to reduce excess cash by minimizing the time elapsing between the transfer of funds from the DETP and the disbursement by the grantee. The DETP may require corrective action to reduce excess cash if the grantee consistently fails to conform to DETP guidelines for excess cash in the PPM. The DETP may charge the grantee an interest assessment on funds that are in excess of immediate needs. The DETP may seek recovery of funds in the event of serious abuse.
DWD 830.08(2)(b)8.
8. Deposit of DETP funds in interest bearing account(s) insured by the FDIC or the FSLIC. Account balances exceeding FDIC or FSLIC coverage must be collaterally secured. Grantees are not required to account to the DETP for interest income and may retain interest earned on DETP funds.
DWD 830.08(2)(c)
(c) Corrective action. The DETP may require corrective action by a specific date if the grantee's financial management system fails to meet the standards set forth in this subsection. Grantees who fail to take corrective action in the time given are subject to having costs withheld or disallowed.
DWD 830.08(3)
(3) Invoicing procedures. The grantee shall submit requests in accordance with the procedures in the PPM to receive cash advances or reimbursements.
DWD 830.08(4)
(4) Financial reporting requirements. The grantee shall comply with the following financial reporting requirements:
DWD 830.08(4)(a)
(a) Financial reports. The grantee shall submit accurate and timely financial reports as required by the PPM. Such reports include statements of accrued expenditures, aged accounts receivable reports and settlement and closeout reports.
DWD 830.08(4)(b)
(b) Late and inaccurate reports. In the event that required reports are not accurate or are not submitted on a timely basis, the DETP may withhold payment of the grantee's costs incurred under the current grant or subsequent active grants until the required reports are received.
DWD 830.08(4)(c)
(c) Additional reports. The grantee may be required to submit additional reports requested by DETP for the performance of its legal responsibilities.
DWD 830.08(5)
(5) Monitoring. The grantee shall comply with the following monitoring requirements:
DWD 830.08(5)(a)
(a) Program and financial monitoring. The grantee shall conduct sufficient program, financial and compliance monitoring to ensure that each employer complies with the terms of its contract and the appropriate laws, this chapter and the PPM.
DWD 830.08(5)(b)
(b) Monitoring records. The grantee shall maintain adequate records to verify that required monitoring, corrective action and follow-up have occurred.
DWD 830.08(6)
(6) Procurement standards. These procurement standards apply to the procurement of property, supplies, equipment, consultants, and professional services. The grantee shall comply with the following procurement standards:
DWD 830.08(6)(a)
(a) Written procedures. The grantee shall establish written procurement procedures that, to the maximum extent practical, provide for the following:
DWD 830.08(6)(a)1.
1. Open and free competition. This includes the requirement that for a particular procurement, a grantee who develops specifications, the statement of work, an invitation for bids, a RFP, or evaluates or recommends such proposals, shall not be eligible to compete for the procurement.
DWD 830.08(6)(a)2.
2. Consideration of both price and the contractor's potential ability to meet specifications.
DWD 830.08(6)(a)3.
3. Avoidance of purchasing unnecessary or duplicative goods or services.
DWD 830.08(6)(a)4.
4. Consideration of small businesses; minority owned businesses; and female owned businesses.
DWD 830.08(6)(a)5.
5. Review of compliance with the terms of each grant or contract initiated by the grantee.
DWD 830.08(6)(b)
(b) Documentation. Each grantee shall maintain documentation showing compliance with its own written procurement procedures.
DWD 830.08(6)(c)
(c) Grantee-employer agreement. Prior to the payment of a wage subsidy, a grantee-employer agreement shall be signed by both parties. The agreement shall comply with the provisions required in the PPM.
DWD 830.08(6)(d)
(d) Code of conduct. Each grantee shall maintain a written code of conduct that shall govern the performance of its officers, employees or agents engaged in the administration of contracts and WisJOBS grants. The code of conduct shall provide the following:
DWD 830.08(6)(d)3.
3. Forbid the solicitation or acceptance of gratuities, favors, or anything of monetary value from contractors or grantees or potential contractors or grantees.
DWD 830.08(6)(e)
(e) Less than arm's length agreements. In some cases, there may be agreements which are made at less than arm's length, that is, where one party to the agreement is able to control or substantially influence the actions of the other. These agreements may be considered allowable at the discretion of the DETP. These agreements include, but are not limited to, those between the following:
DWD 830.08(6)(e)2.
2. Grantees under common control through common officers, directors, or members; or
DWD 830.08(6)(e)3.
3. A grantee and a director, trustee, officer, or key employee of the grantee or his or her immediate family either directly or through corporations, trusts, or similar arrangements in which they hold a controlling interest.
DWD 830.08(7)
(7) Conditions for wage subsidy payments from grantees to employers. The grantee shall comply with the conditions for wage subsidy payments from grantees to employers in accordance with the PPM and
s. 101.35 (5), Stats.
DWD 830.08(8)
(8) Audit and audit resolution. The grantee shall comply with the following provisions for audit and audit resolution:
DWD 830.08(8)(a)
(a) Units of government. Grantees that are units of government shall have a single organization-wide financial, compliance and eligibility audit, including this grant, performed by an independent CPA firm and conducted in accordance with the single audit act and the state single audit guidelines.
DWD 830.08(8)(b)
(b) Non-units of government. Grantees that are not units of government shall procure an annual financial, compliance and eligibility audit of these funds performed by a qualified CPA firm in accordance with the office of management and budget Circular A-110, uniform administrative requirements for grants and agreements with institutions of higher education, hospitals and other nonprofit organizations, and Wisconsin single-audit guidelines.
DWD 830.08(8)(c)
(c) Audit costs. The cost of the audit shall be borne by the grantee.
DWD 830.08(8)(d)
(d) Audit resolution process. The grantee shall comply with the audit resolution process in accordance with the PPM.
DWD 830.08(8)(e)
(e) Subgrant audits. Grantees are responsible for developing similar audit resolution and debt collection procedures applicable to their subgrants.
DWD 830.08(9)
(9) Debt collection. The grantee shall comply with the following provisions for debt collection:
DWD 830.08(9)(a)
(a) Debt collection procedures. Grantees shall develop and institute debt collection procedures to aggressively collect debts.
DWD 830.08(9)(b)
(b) Conditions of repayment. In accordance with s.
106.20 (11) (a) and
(b), Stats., the grantee shall collect repayment of wage subsidies received by employers if a client leaves the position during the subsidy period or during the retention period, and the employer does not replace the client with another eligible job applicant.
DWD 830.08(9)(c)
(c) Repayment schedule. The repayment shall be collected according to the following schedule of decreasing liability:
DWD 830.08(9)(c)1.
1. 70% if the client leaves while the position is subsidized or within the first month after the wage subsidy ends;
DWD 830.08(9)(c)2.
2. 64% if the client leaves within the second month after the end of the wage subsidy;
DWD 830.08(9)(c)3.
3. 58% if the client leaves within the third month after the end of the wage subsidy;
DWD 830.08(9)(c)4.
4. 52% if the client leaves within the fourth month after the end of the wage subsidy;
DWD 830.08(9)(c)5.
5. 46% if the client leaves within the fifth month after the end of the wage subsidy;
DWD 830.08(9)(c)6.
6. 40% if the client leaves within the sixth month after the end of the wage subsidy;
DWD 830.08(9)(c)7.
7. 34% if the client leaves within the seventh month after the end of the wage subsidy;
DWD 830.08(9)(c)8.
8. 28% if the client leaves within the eighth month after the end of the wage subsidy;
DWD 830.08(9)(c)9.
9. 22% if the client leaves within the ninth month after the end of the wage subsidy;
DWD 830.08(9)(c)10.
10. 16% if the client leaves within the tenth month after the end of the wage subsidy;
DWD 830.08(9)(c)11.
11. 10% if the client leaves within the eleventh month after the end of the wage subsidy;
DWD 830.08(9)(c)12.
12. 4% if the client leaves within the twelfth month after the end of the wage subsidy;
DWD 830.08(9)(c)13.
13. No payback is required if the client leaves the position after the twelve-month retention period is completed.
DWD 830.08(9)(d)
(d) Debt collection activity. Debt collection activity shall be progressive, from notification of the debt through debt collection, with waivers viewed as a last resort.
DWD 830.08(9)(e)
(e) Waiver of debt. A waiver can be sought at any point in the process after the debt has been determined to be uncollectible. Guidelines for making the determination and for pursuing a waiver are provided in PPM. The secretary may grant a waiver of the debt in accordance with s.
106.20 (11) (c), Stats.
DWD 830.08(9)(f)
(f) Charging of interest. Nothing in this section shall prevent the grantee from being charged interest on the debt at the current rate earned by the Wisconsin state investment fund beginning 30 days after the debt is established.
DWD 830.08 History
History: Cr.
Register, May, 1989, No. 401, eff. 6-1-89; corrections in (1) (a) 1., (9) (b) and (e) made under s.
13.92 (4) (b) 7., Stats.,
Register November 2008 No. 635.
DWD 830.09
DWD 830.09
Complaints and appeals. The following procedures shall be used in processing complaints on alleged violations of WisJOBS or its regulations:
DWD 830.09(1)
(1) General requirements. The grantee shall comply with the following general requirements of complaints and appeals:
DWD 830.09(1)(a)
(a) Grantee procedures. Each grantee shall establish and maintain complaint, grievance and appeal procedures.
DWD 830.09(1)(b)
(b) Subgrantee procedures. Each grantee shall assure that all subgrantees with which it contracts under WisJOBS are informed of these requirements and that they maintain grievance procedures consistent with such requirements.
DWD 830.09(1)(c)
(c) Employer procedures. Each grantee shall assure that every employer with which it contracts shall maintain a grievance procedure relating to the terms and conditions of employment.
DWD 830.09(2)
(2) Discrimination complaint filing procedure. Any person who believes they have been discriminated against on the basis of race, creed, color, handicap, marital status, sex, national origin, ancestry, sexual orientation, arrest record or conviction record while applying for, or participating in a WisJOBS program, may file a complaint with the department of workforce development equal rights division within 300 days of the action believed to have been discriminatory.
DWD 830.09(3)
(3) Noncriminal violation of WisJOBS law. The grantee shall comply with the following provisions applicable to noncriminal complaints or grievances:
DWD 830.09(3)(a)
(a) Filing a complaint. Any person who believes or alleges that a violation of WisJOBS s.
106.20, Stats., has occurred, may within one year of the alleged violation file a written complaint with the grantee.
